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aria-labelledby="Qualification Exams">Qualification Exams</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content63752dac-c460-4619-b75a-0544d39f9e21--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie" class="sf-depth-4" aria-labelledby="Securities Industry Essentials Exam (SIE)">Securities Industry Essentials Exam (SIE)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenteba0ebc3-0134-40a1-869d-3a5a30f05306--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/series7" class="sf-depth-4" aria-labelledby="Series 7">Series 7</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-content1d435c60-0a5d-4ac1-baac-6feb68ac1aa4--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/continuing-education" class="sf-depth-3 menuparent" aria-labelledby="Continuing Education (CE)">Continuing Education (CE)</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content12708005-03a9-4813-a1c4-b79ccb575e00--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/continuing-education/regulatory-element-topics" class="sf-depth-4" aria-labelledby="View a Regulatory Element Learning Plan">View a Regulatory Element Learning Plan</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content87ac70da-476d-497b-bee4-39d65e59ea5f--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 3">Registration Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1f87e2bc-137c-4e76-ba12-921ac5400696--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/classic-crd" class="sf-depth-3 menuparent" aria-labelledby="Registration Systems">Registration Systems</a><ol><li 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aria-labelledby="FINRA Gateway">FINRA Gateway</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf6c4c3c6-93c8-42cf-ab58-476a92d01380--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/systems-status" class="sf-depth-3" aria-labelledby="Systems Status">Systems Status</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentd27e2150-fc22-4e07-98c1-2cce079184a8--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/entitlement" class="sf-depth-3" aria-labelledby="Entitlement Program">Entitlement Program</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content68c74d41-92b9-4e79-84e4-5c43beaf45dc--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/market-transparency-reporting" class="sf-depth-3" aria-labelledby="Market Transparency Reporting Tools">Market Transparency Reporting Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbb250ecd-0432-4ebc-bccf-a21e455fb617--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/regulatory-filing-systems" class="sf-depth-3" aria-labelledby="Regulatory Filing Systems">Regulatory Filing Systems</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2de7e722-b3b2-471e-9cf2-587f649dd923--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/data-transfer-tools" class="sf-depth-3" aria-labelledby="Data Transfer Tools">Data Transfer Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentec6d9be1-8ac6-4071-890c-52838b5490a2--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/e-bill" class="sf-depth-3" aria-labelledby="E-Bill">E-Bill</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentabdfc859-e1e4-4071-9b99-9535c132ee72--2" class="sf-depth-1 header menuparent"><a href="/compliance-tools" class="sf-depth-1 menuparent" aria-labelledby="Compliance Tools">Compliance Tools</a><ul 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left-nav-toggle arrow-down" data-toggle="collapse" data-target=".layout-collapse"> EXPLORE THIS SECTION </div> <div class="left-nav-collapse collapse layout-collapse"> <div class="block-region-left-rail"><nav role="navigation" aria-labelledby="-menu" data-block-plugin-id="system_menu_block:dr-redesign-2022" class="block block-menu navigation menu--dr-redesign-2022"> <h2 class="sr-only visually-hidden" id="-menu">Arbitration & Mediation</h2> <ul class="clearfix top-level nav navbar-nav"> <li class="nav-item menu-item--expanded"> <div class="expando collapsed" data-toggle="collapse" data-target="#learn-about-arbitration-&-mediation-submenu"></div> <a href="/arbitration-mediation/about" class="nav-link adjust-for-expando" aria-labelledby="Learn About Arbitration & Mediation" data-drupal-link-system-path="node/336356">Learn About Arbitration & Mediation</a> <ul class="menu collapse " id="learn-about-arbitration-&-mediation-submenu"> <li class="nav-item"> <a 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Arbitrator" data-drupal-link-system-path="node/335076">Become an Arbitrator</a> </li> <li class="nav-item"> <a href="/arbitration-mediation/become-arbitrator/become-mediator" class="nav-link" aria-labelledby="Become a Mediator" data-drupal-link-system-path="node/335096">Become a Mediator</a> </li> <li class="nav-item"> <a href="/rules-guidance/key-topics/expungement-of-dispute-information" class="nav-link" aria-labelledby="Expungement" data-drupal-link-system-path="node/346841">Expungement</a> </li> <li class="nav-item"> <a href="/arbitration-mediation/about/locations-contacts/covid19" class="nav-link" aria-labelledby="Coronavirus Information" data-drupal-link-system-path="node/175686">Coronavirus Information</a> </li> </ul> </nav> </div> </div> </div> </div> <div class="image-and-caption i-c-responsive"> <div class="hero-caption"> Arbitration & Mediation </div> <div class="image"> <div class="block-region-image"><div data-block-plugin-id="entity_field:node:field_hero_image" class="block block-ctools-block block-entity-fieldnodefield-hero-image"> <div class="content"> <div class="field field--name-field-hero-image field--type-image field--label-hidden field__item"> <img src="/sites/default/files/styles/crop_hero_image/public/2022-12/DRS-home-option2.jpg?itok=eI8CtijC" width="2400" height="750" alt="Arbitration & Mediation" loading="lazy" class="image-style-crop-hero-image" /> </div> </div> </div> </div> </div> </div> </div> <div class="col-xl-9 main-body"> <div class="row"> <div class="hero-caption"> Arbitration & Mediation </div> <div class="block-region-top"><div data-block-plugin-id="entity_field:node:body" class="block block-ctools-block block-entity-fieldnodebody"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><p>This section of FINRA.org is dedicated to <a href="/investors#/">helping investors</a> and other FINRA constituents understand how to navigate our two Dispute Resolution Services of <a href="/arbitration-mediation/about/arbitration-vs-mediation">Arbitration and Mediation</a>. Our goal is to provide appropriate guidance to help you resolve your dispute, as well as set realistic expectations regarding our <a href="/arbitration-mediation/about/arbitration-process">Arbitration</a> and <a href="/arbitration-mediation/about/mediation-process">Mediation</a> processes 鈥攊ncluding timelines, <a href="/arbitration-mediation/about/fees">fees</a> and how to <a href="/arbitration-mediation/about/find-attorney">find an attorney</a>.</p><p>Constituents can <a href="/arbitration-mediation/file-arbitration-mediation-claim#arbitration">file an arbitration claim</a> and/or <a href="/arbitration-mediation/file-arbitration-mediation-claim#mediation">request mediation</a> through FINRA Dispute Resolution Services when they have a dispute involving the business activities of a <a href="https://brokercheck.finra.org/">brokerage firm or one of its brokers</a>, and are seeking monetary or other relief.</p><p>In most instances, to be considered for arbitration or mediation, the alleged act resulting in a claim must have taken place within the past <a href="/rules-guidance/rulebooks/finra-rules/12206">six years</a>. However, arbitrators may find that there is a continuing occurrence or event giving rise to the dispute. For example, although a customer purchased stock 10 years ago, there are allegations of ongoing fraud starting with the purchase, but continuing to a date <a href="/sites/default/files/arbitrators-ref-guide.pdf#page=47">within six years of the date the claim was filed</a>. </p><p>While in most instances <a href="/arbitration-mediation/about/find-attorney">attorneys</a> will be present in both arbitration and mediation, the outcomes are not decided by a court of law. Arbitration cases are decided by independent arbitrators who are chosen by the parties to issue final binding decisions. Arbitration is a compulsory process requiring FINRA members to answer claims.</p><p>In mediation parties jointly select an independent mediator who assists the parties in reaching a negotiated resolution. Mediation is voluntary and both sides must agree before a session can commence.</p><p>Separately, constituents may also file a complaint through FINRA's <a href="/investors/have-problem/file-complaint/complaint-center">Investor Complaint Center</a> to alert FINRA鈥檚 Regulatory Department to potentially fraudulent or suspicious activities by brokerage firms or brokers. Filing an investor complaint does not preclude you from filing a separate arbitration or mediation case with FINRA Dispute Resolution Services.</p><p class="more-link"><a href="/arbitration-mediation/about/arbitration-vs-mediation">START HERE</a></p></div> </div> </div> </div> </div> <div class="row"> <div class="col-lg"> <div class="block-region-middle"></div> </div> </div> <div class="layout--sidebar"> <div class="row sidecar-row"> <div id="layout--sidecar" class="col-lg layout--sidecar"> <div class="block-region-widget-block"><div data-block-plugin-id="entity_field:node:field_sidecar_content" class="block block-ctools-block block-entity-fieldnodefield-sidecar-content"> <div class="content"> <div class="field field--name-field-sidecar-content field--type-entity-reference-revisions field--label-hidden field__item"> <div class="paragraph paragraph--type--call-to-action paragraph--view-mode--default"> <div class="field field--name-field-cta-title field--type-string field--label-hidden field__item">Dispute Resolution Portal</div> <div class="clearfix text-formatted field field--name-field-body field--type-text-long field--label-hidden field__item"><p>The DR Portal allows participants in an arbitration or a mediation to log into a secure area of our website so they can submit documents and manage case information. </p><p class="more-link"><a href="/arbitration-mediation/dr-portal">Learn MORE about DR Portal</a></p></div> <div class="field field--name-field-cta-link field--type-link field--label-hidden field__item"><a href="https://drportal.finra.org:443/">Log In to DR Portal</a></div> </div> </div> </div> </div> </div> </div> </div> <div class="row"> <div class="col-lg layout--right-nav"> <div class="block-region-right-rail"><div data-block-plugin-id="block_content:6c1058e5-89d6-4d91-b82a-861c5c835bd4" class="block-content-basic block block-block-content block-block-content6c1058e5-89d6-4d91-b82a-861c5c835bd4"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><h2>NEED HELP?</h2><p>For help logging into the DR Portal, call FINRA Support Center at (301) 590-6500. For other technical difficulties, call (800) 700-7065.</p><p>For case-related questions, please contact the <a href="/arbitration-mediation/about/locations-contacts">regional office</a> assigned to your case.</p><p>FINRA鈥檚 website can be read in languages other than English, by using a <a href="/translate">translation</a> service.</p><p>Arbitration parties may request a financial hardship waiver of filing and interpretation <a href="/arbitration-mediation/about/fees#waivers">fees</a>.</p><p class="more-link"><a href="/arbitration-mediation/about/locations-contacts/covid19">Learn more</a></p><h2>Looking For Arbitration Awards?</h2><p><a href="/arbitration-mediation/arbitration-awards-online">Arbitration Awards</a></p></div> </div> </div> </div> </div> </div> </div> </div> </div> </div> <div class="row"> <div class="col-lg"> <div class="row finra-container"> </div> <div class="row finra-container"> <div class="col-lg"> <div class="block-region-fixed-width-bottom"><div data-block-plugin-id="entity_field:node:field_paragraph_reference" class="block block-ctools-block block-entity-fieldnodefield-paragraph-reference"> <div class="content"> <div class="field field--name-field-paragraph-reference field--type-entity-reference-revisions field--label-hidden field__items"> <div class="field__item"> <div class="paragraph paragraph--type--simple-text-paragraph paragraph--view-mode--default"> <div class="clearfix text-formatted field field--name-field-formatted-body field--type-text-long field--label-hidden field__item"><hr><h2>FINRA Dispute Resolution is...</h2><div class="column-container"><div class="quarter globalAlignCenter"><img src="/sites/default/files/2022-11/DR-home-experienced.png" alt="Experienced"><h3>EXPERIENCED</h3><p><strong>8,000+</strong> well-qualified arbitrators drawn from diverse professions and cultural backgrounds</p></div><div class="quarter globalAlignCenter"><img src="/sites/default/files/2022-11/DR-home-fair.png" alt="Fair"><h3>FAIR</h3><p>In 2023, <strong>74%</strong> of customer arbitration cases closed through settlement or paid damages</p></div><div class="quarter globalAlignCenter"><img src="/sites/default/files/2022-11/DR-home-effective.png" alt="Effective"><h3>EFFECTIVE</h3><p><strong>3,644</strong> arbitration and mediation cases closed in 2023</p></div><div class="quarter globalAlignCenter"><img src="/sites/default/files/2022-11/DR-home-efficient.png" alt="Efficient"><h3>EFFICIENT</h3><p>The average FINRA arbitration case closed in just <strong>14.6 months in 2023</strong></p></div></div><p> </p><p class="more-link globalAlignRight"><a href="/arbitration-mediation/dispute-resolution-statistics">View all DR Statistics</a></p><hr></div> </div> </div> <div class="field__item"> <div class="paragraph paragraph--type--simple-text-paragraph paragraph--view-mode--default"> <div class="clearfix text-formatted field field--name-field-formatted-body field--type-text-long field--label-hidden field__item"><div class="column-container"><div class="half"><iframe allowfullscreen frameborder="0" height="316" mozallowfullscreen src="https://player.vimeo.com/video/188349814" title=" Become a FINRA Arbitrator" webkitallowfullscreen width="560"></iframe></div><div class="half"><h2>Become a FINRA Arbitrator</h2><p>FINRA Dispute Resolution Services has embarked on an aggressive campaign to recruit new arbitrators with a particular focus on adding arbitrators from <a href="/arbitration-mediation/diversity">diverse backgrounds, professions, and geographical locations</a>. </p><p>FINRA arbitrators are highly engaged, dynamic individuals who collaborate to aid their communities and enhance their professional lives by resolving securities-related disputes.  </p><p>As a FINRA arbitrator, you have the opportunity to develop skills, give back and supplement your income.  No previous arbitration, securities or legal experience is required to apply鈥攋ust five years of paid work experience and 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