Coronavirus Impact on Arbitration & Mediation Hearings

Effective, January 30, 2023, FINRA Dispute Resolution Services (DRS) will no longer require vaccination, COVID testing, or Health Self-Assessments for in-person participants at arbitration hearings or mediation sessions (hearing).

Frequently Asked Questions

Are face masks required at in-person hearings?

In-person participants are not required to wear face masks. However, FINRA recommends that people consider wearing a mask if the COVID-19 Community Level is High.

What are symptoms consistent with COVID-19?

If you have symptoms consistent with COVID-19, you may experience any of the following symptoms that are new and cannot be attributed to a noncommunicable health condition:

  • Fever (>100.4 F) or chills
  • Cough
  • Shortness of breath or difficulty breathing
  • Fatigue or weakness (from illness, not exertion)
  • Muscle or body aches (from illness, not exertion)
  • Headache
  • New loss of taste or smell
  • Sore throat
  • Congestion or runny nose
  • Nausea or vomiting
  • Diarrhea

I have symptoms consistent with COVID-19. Should I still attend the hearing in person?

No. Please do not attend in person if you have symptoms consistent with COVID-19 when the in-person hearing begins or during the in-person hearing. During an in-person hearing, please immediately notify the panel and cease attending the hearing in person.

I was exposed to an individual who has tested positive for COVID-19 in the past 5 days. Should I still attend the hearing in person?

No. Please do not attend in person if you were exposed to COVID-19 in the 5 days before the in-person hearing begins or during the in-person hearing. During an in-person hearing, please immediately notify the panel and cease attending the hearing in person.

I am currently testing positive for COVID-19. Should I still attend the hearing in person?

No. Please do not attend hearings in person if you are testing positive for COVID-19 at that time. If you receive a positive test during an in-person hearing, please immediately notify the panel and cease attending the hearing in person.

What if I test positive after attending a hearing in person?

If you test positive within 10 days after attending a hearing in person, please contact FINRA DRS staff immediately so that we can follow our contact tracing procedures.

I’m a party. What should I do if I want the hearing held via Zoom?

FINRA DRS is primarily an in-person forum, and in-person participation is expected at most hearings. However, parties may agree to have a Zoom hearing or a hybrid hearing (which is when some participants are on Zoom and others are in person). If the parties can’t reach an agreement, a motion may be filed. The panel will decide the issue.