26. Arbitration and Mediation

In this section

• Dispute Resolution Processes in Securities Industry
  Explore the comprehensive guide on dispute resolution processes, focusing on arbitration and mediation, to prepare for the Series 7 Exam.
  • Arbitration Procedures in Securities Disputes
    Explore the comprehensive arbitration procedures administered by FINRA, including mandatory arbitration clauses and the step-by-step process from filing to award issuance.
  • Mediation Services in Securities Dispute Resolution
    Explore the role of mediation services in securities dispute resolution, including strategies for success and benefits of preserving business relationships.
• FINRA Arbitration Rules
  Comprehensive Guide to FINRA Arbitration Rules for Series 7 Exam Preparation
  • Filing Claims in FINRA Arbitration: A Comprehensive Guide
    Master the process of filing claims in FINRA arbitration with our detailed guide. Learn about the requirements for submitting a Statement of Claim, associated fees, time limits, and serving the respondent. Gain insights into drafting effective claims to ensure a successful arbitration process.
  • Arbitrator Selection Process in FINRA Arbitration
    Explore the comprehensive process of selecting arbitrators in FINRA arbitration, including the roles of public and non-public arbitrators, panel composition, and strategic tips for ranking and striking arbitrators.
  • Hearing Procedures in FINRA Arbitration
    Explore the comprehensive guide to hearing procedures in FINRA arbitration, including conduct of hearings, presentation of evidence, witness testimony, rules of evidence, confidentiality, and hearing schedules.
• Arbitration Awards and Enforcement: Understanding the Process and Compliance
  Explore the intricacies of arbitration awards and enforcement in the securities industry. Learn about the decision-making process, binding nature of awards, timelines for payment, and consequences of non-compliance.
  • Arbitration Awards in Securities Disputes: Understanding Components and Enforcement
    Explore the intricacies of arbitration awards in securities disputes, including components, enforcement, and typical outcomes. Essential knowledge for Series 7 exam preparation.
  • Legal Remedies in Arbitration and Mediation
    Explore the enforcement of arbitration awards, confirmation and vacatur processes under the Federal Arbitration Act, and legal enforcement procedures in the securities industry.