Government Shutdown Information

FINRA Office of Hearing Officers (OHO) Filing Requirements
  1. Parties may not “file” letters or emails with OHO through the OHO Docket Portal. All filings must be in the form of a pleading. See Sample Forms.
     
  2. Parties must file all pleadings as separate, individual documents. Each pleading must include the caption of the case and a certificate of service as part of the pleading. Parties should not attach notices of filing or other documents as part of the same pleading, unless otherwise indicated below. Parties must file all pleadings through the OHO Docket Portal.
     
  3. Formal complaints: Enforcement should combine the notice of complaint, complaint, and certificate of service as one PDF with bookmarks identifying the three documents.
     
  4. If Enforcement files an index of initials found in the complaint, it must file the index as a separate pleading containing a caption and an attached certificate of service.
     
  5. Answers: Respondents must include the caption of the case and an attached certificate of service as part of the answer and file it as a pleading. Respondents should not attach other documents as part of their answer.
     
  6. Motions for entry of default decision: Enforcement should file a motion for entry of a default decision, memorandum of law, declaration, and certificate of service as one PDF with bookmarks. Default motion exhibits should be filed as a separate combined PDF with bookmarks. Enforcement should reference its service of default motion exhibits in the certificate of service it files with the default motion.
     
  7. Motions for summary disposition: parties should file a motion for summary disposition, memorandum of law, statement of material facts, affidavits/declarations, and certificate of service as one PDF with bookmarks. Summary disposition exhibits should be filed as a separate combined PDF with bookmarks. The parties should reference their service of summary disposition exhibits in the certificate of service they file with their motion for summary disposition.
     
  8. Oppositions to motions for summary disposition: parties should file an opposition to a motion for summary disposition, memorandum of law, statement of material facts, opposing affidavits/declarations, response to statement of facts, and certificate of service as one PDF with bookmarks. Opposition exhibits should be filed as a separate combined PDF with bookmarks. Parties should reference their service of summary disposition opposition exhibits in the certificate of service they file with their opposition to motion for summary disposition.
     
  9. Motions for leave to offer expert testimony: parties should file a motion for leave to offer expert testimony, certificate of service, and any supporting documents (e.g., a statement of the witness’s qualifications; a list of other proceedings in which the witness has given expert testimony in the last four years; a list of publications the witness authored or co-authored in the last ten years) as one PDF with bookmarks.
     
  10. All other motions: parties should include the caption of the case and an attached certificate of service in all motions. Parties generally should not attach other documents as part of a motion.
     
  11. Pre-hearing submissions: parties must file all components of their pre-hearing submissions separately:
     
    • a captioned pre-hearing brief with attached certificate of service should be an independent document;
    • a captioned witness list with attached certificate of service should be an independent document;
    • a captioned exhibit list with attached certificate of service should be an independent document; and
    • proposed exhibits should be filed in consultation with the assigned case administrator (parties should reference their service of proposed exhibits in the certificate of service they file with their exhibit list).