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Arbitration, Dispute Resolution, Mediation

Although most business in the securities industry is completed without problems, disputes and controversies occasionally arise.

When investors lose money in the securities markets, Financial Advisors may be justly or unjustly accused formally of having responsibility for these failed investment recommendations. These Advisors and their firms are required to defend their actions, and this case is brought before an Arbitration hearing (also known as a Dispute Resolution hearing or Mediation).

Consider some common reasons cited for arbitration:

  • Suitability
  • Churning
  • Unauthorized Trading
  • Breach of Fiduciary Duty
  • Misrepresentation
  • Stop/Limit/Market Orders
  • Annuities
  • Mutual Funds
  • …Just to name a few.
If you are an Advisor who has been named in an arbitration case, or simply would like to learn more about arbitration or dispute resolution training or services, let VendorPedia help you with additional arbitration resources!

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Examination Requirements

Each exam varies, depending upon the course:
  • ARe 143/144, ARM 56, AIAF 114: Eighty-five computer-administered, objective (multiple-choice) questions. Time allotted: 2 hours.

  • ARe 145: Students must answer 5, 10, or 15 multiple-choice questions on each article, and one must correctly answer 150 questions to complete the course. There will be at least 40 articles available from which to choose.

  • CPCU 520 and 540: Computer-administered essay. Time allotted: 3 hours.
National exams are given at local testing centers during the following two-month windows:
  • January 15 - March 15
  • April 15 - June 15
  • July 15 - September 15
  • October 15 - December 15
Contact Prometric testing centers at 800-266-3232 for more information or to schedule your exam; Exam fees will apply.

Ethics Requirement

Those pursuing the ARe designation must pass a 50-question exam in the Ethical Guidelines For Insurance Professionals online module. This module is offered by the Institutes at no charge. If you wish to earn CE credits for passing the 50-question, objective, online exam included with it, there is a nominal $5 administrative fee.

Additional Requirements

Candidates are not required to meet experience or education requirements to attain this designation.

Continuing Education Requirements

A designee is not required to fulfill any annual continuing education requirements, nor are there any annual fees for a designee to maintain the designation.
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