Arbitration Procedures

Although most business in the securities industry is completed without a problem, disputes and controversies will occasionally arise. Such disputes and controversies can be resolved by impartial arbitration at one of the organizations listed in the Services Directory. Arbitrations are conducted in accordance with the Uniform Code of Arbitration (Uniform Code) as developed by the Securities Industry Conference on Arbitration and the rules of the sponsoring organization where the claim is filed.

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