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Each of the stock exchanges offer arbitration forums, as does the National Association of Securities Dealers, Inc. and the American Arbitration Association. For the NASD and the Exchanges, in order to use their forums, the brokerage firm must be a member of that organization. Since every stock broker and every brokerage firm is a member of the National Association of Securities Dealers, and are bound by the rules of the NASD to arbitrate their disputes at the NASD, the NASD is the largest arbitration forum. The NASD received nearly 9,000 arbitration filings in 2003.

NASD Dispute Resolution, Inc.
One Liberty Plaza
165 Broadway
New York, New York 10004
212-858-4400

NASD Code of Arbitration Procedure

The New York Stock Exchange 
20 Broad Street
New York, New York 10005
212) 656-2772

American Arbitration Association
140 West 51st. Street 
New York, NY 10020-1203 
212-484-3266






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