FINRA arbitration

Copyright © 2026 LexisNexis

The Financial Industry Regulatory Authority (FINRA) is an independent regulatory body overseeing the US securities industry. As part of its role, FINRA operates the largest dispute resolution body in the securities industry. It works to resolve monetary and business disputes between investors, brokerage firms and individual brokers, as well as disputes between and among brokerage firms and individual brokers.

The disputes are dealt with using FINRA’s own arbitration procedure. FINRA has two Codes of Arbitration Procedure:

To view the latest version of this document and thousands of others like it, sign-in with LexisNexis or register for a free trial.

Existing user? Sign-in TAKE A FREE TRIAL
Powered by Lexis+®
Latest Arbitration News

Riyadh International Disputes Week 2026 scheduled for February 2026

Riyadh International Disputes Week 2026 (RIDW26) will be held in Riyadh, Saudi Arabia, from 1 to 5 February 2026. The event will bring together stakeholders in dispute resolution, government, academia and businesses from local and international sectors, with a series of events and dispute resolution programmes focused on professional development and networking. The programme will include the Saudi Center for Commercial Arbitration's 5th International Conference and Exhibition on 4 February 2026, which is expected to draw over 1,200 attendees.

OFSI updates UK financial sanctions FAQs relating to Arbitration Costs

The Office of Financial Sanctions Implementation (OFSI) has updated its UK financial sanctions FAQs guidance. OFSI has added FAQs 177–183, which relate to General Licence INT/2025/5787748 on Arbitration Costs'. FAQ 177 addresses when arbitrators and/or arbitration associations should use the General Licence. FAQ 178 covers the circumstances in which the Arbitration Costs General Licence (GL) applies to non-designated persons (and their representatives). FAQ 179 explains what payments the Arbitration Costs General Licence covers. FAQ 180 considers whether arbitrations conducted outside the UK engage UK sanctions. FAQ 181 addresses whether arbitrators may use surplus payments from one arbitration towards the deposit of another arbitration involving the same designated person (DP). FAQ 182 explains whether payments by designated persons and non-designated persons towards arbitration costs require reporting to OFSI. Finally, FAQ 183 clarifies which General Licence legal advisers representing designated persons in arbitrations should use to comply with sanctions.

CRCICA appoints Dr Dalia Hussein as director for four-year term

The Cairo Regional Centre for International Commercial Arbitration (CRCICA) has announced the appointment of Dr Dalia Hussein as its director for a four-year term commencing 1 January 2026. The appointment makes her the first woman to lead CRCICA since its establishment in 1979. Dr Hussein previously served as CRCICA's deputy director for eight years.

AIAC publishes 2024 annual report

The Asian International Arbitration Centre (AIAC) has published its 2024 annual report, setting out institutional reform initiatives, including governance and structural developments, key leadership appointments and foundational measures intended to strengthen its position as an international arbitral institution. The report notes an increase in caseloads, ongoing capacity-building programmes and continued engagement and partnerships with regional and international stakeholders. AIAC has indicated that further developments will be covered in its 2025 annual report.

View Arbitration by content type :  
News
Practice notes
Precedents
Q&As

Popular documents

If a rentcharge is shown as being informally exonerated on title information, does this apply to the

If a rentcharge is shown as being informally exonerated on title information, does this apply to the current registered owner? Or does the informal exoneration only apply to the parties to the document which informally exonerated the rentcharge?This Q&A considers the situation where, at some

Strike out—making an application to strike out a statement of case

Strike out—making an application to strike out a statement of caseA strike out order can be made either following an application by the parties or on the court's own initiative. This Practice Note deals with the scenario of the order being made following a party's application.Making an application

Can shares in a limited company that have not been paid-up at all be cancelled?

Can shares in a limited company that have not been paid-up at all be cancelled?A limited company having a share capital may not alter that share capital, except in the ways listed in section 617 of the Companies Act 2006 (CA 2006). Shares in a company cannot simply be cancelled without following an

Template for regulatory references given by SMCR firms and disclosure requirements

Template for regulatory references given by SMCR firms and disclosure requirements[Insert addressee details]Dear [insert name][It is our understanding that [insert name of prospective employee] [was an employee of yours between the dates of [insert dates as appropriate] OR is a current employee of
If a rentcharge is shown as being informally exonerated on title information, does this apply to the

If a rentcharge is shown as being informally exonerated on title information, does this apply to the

If a rentcharge is shown as being informally exonerated on title information, does this apply to the current registered owner? Or does the informal exoneration only apply to the parties to the document which informally exonerated the rentcharge?This Q&A considers the situation where, at some

Strike out—making an application to strike out a statement of case

Strike out—making an application to strike out a statement of case

Strike out—making an application to strike out a statement of caseA strike out order can be made either following an application by the parties or on the court's own initiative. This Practice Note deals with the scenario of the order being made following a party's application.Making an application

Can shares in a limited company that have not been paid-up at all be cancelled?

Can shares in a limited company that have not been paid-up at all be cancelled?

Can shares in a limited company that have not been paid-up at all be cancelled?A limited company having a share capital may not alter that share capital, except in the ways listed in section 617 of the Companies Act 2006 (CA 2006). Shares in a company cannot simply be cancelled without following an

Template for regulatory references given by SMCR firms and disclosure requirements

Template for regulatory references given by SMCR firms and disclosure requirements

Template for regulatory references given by SMCR firms and disclosure requirements[Insert addressee details]Dear [insert name][It is our understanding that [insert name of prospective employee] [was an employee of yours between the dates of [insert dates as appropriate] OR is a current employee of