OHO Docket Portal
The OHO Docket Portal is a web-based electronic filing system that allows parties in proceedings before the Office of Hearing Officers to log in to a secure system with self-service access to submit, serve and receive documents, and to view other information, including scheduled events and deadlines.
On This Page
- OHO Docket Portal User Guides
- Request an OHO Docket Portal User Account
- Frequently Asked Questions About the OHO Docket Portal
User Guides
OHO has developed user guides to help parties use the OHO Docket Portal and file new disciplinary cases and requests for expedited hearings.
Download: OHO Docket Portal User Guide for Parties and Other Case Participants
Download: How to Request Access to a Proceeding in the OHO Docket Portal
Download: How to File a New Disciplinary Proceeding (Complaint)
Download: How to File a Request for an Expedited Hearing
Important: As of October 2026, the process for requesting an OHO Docket Portal user account and access to a proceeding has changed. For details see How to Request Access to a Proceeding in the OHO Docket Portal above.
As of November 2026, OHO’s policies on Personal Confidential Information in the OHO Docket Portal have changed. For details see OHO’s Policies Governing PCI on this page and the OHO Docket Portal User Guide above.
Access to an OHO Proceeding
To use the OHO Docket Portal for a specific OHO proceeding, you must have both an OHO Docket Portal account and access to that proceeding. Access is granted separately for each proceeding.
To request access, click the “Request Access to an OHO Proceeding” button in the right navigation pane and complete the Access Request form. OHO generally responds within one business day.
Information You Will Need
Before you begin completing the form, have this information available:
- your name;
- contact information, including your email address;
- your role in the proceeding (for example, respondent, counsel, support staff);
- whether you already have an OHO Docket Portal account; and
- the proceeding number.
Notice of Appearance Requirements
Counsel representing a party and officers of respondent firms representing the firm must attach a Notice of Appearance. If more than one counsel is appearing, one Notice of Appearance listing all counsel is sufficient.
Support staff should follow the instructions shown in the Access Request form. In general:
- If counsel has not yet filed a Notice of Appearance, attach a Notice of Appearance to the Access Request form.
- If someone has already filed a Notice of Appearance on your behalf, request access without attaching another copy.
Important: Attaching a Notice of Appearance to the Access Request form does not replace the requirement to file it in the OHO Docket Portal Party Submissions tab after access is granted. For detailed instructions, see How to Request Access to a Proceeding in the OHO Docket Portal above.
What Happens Next?
If your Access Request is approved, you will receive confirmation by email. If OHO creates a new account for you, or if you do not remember your username, you will also receive automated emails with your username and temporary password.
Once you are added as a participant, you may log in to file, serve and receive documents, and view case information.
For detailed instructions, see How to Request Access to a Proceeding in the OHO Docket Portal above.
Frequently Asked Questions about the OHO Docket Portal
What is the OHO Docket Portal?
The OHO Docket Portal is a secure web-based system for filing, serving, receiving and viewing documents and case information, including scheduled pre-hearing conferences and hearings, in OHO proceedings.
I received a disciplinary Complaint against me from the Department of Enforcement. How do I file an Answer?
Request access to the OHO Docket Portal using the Access Request form. After access is granted, file your Answer and all future filings through the OHO Docket Portal Party Submissions tab. All filings must be submitted as PDFs. For detailed filing instructions, see the OHO Docket Portal User Guide above.
How do I file a new disciplinary proceeding or request an expedited hearing? Do I use the OHO Docket Portal?
To file a new disciplinary proceeding or request an expedited hearing, use the online filing forms linked on this page. An OHO Docket Portal account is not required to submit these forms.
File a New Disciplinary Proceeding (Complaint)
File a Request for an Expedited Hearing
For detailed instructions, see the user guides below:
Download: How to File a New Disciplinary Proceeding (Complaint)
Download: How to File a Request for an Expedited Hearing
How do I access the OHO Docket Portal?
Click the “OHO Docket Portal” button in the right navigation pane or click the link below to go to the login page.
Am I required to use the OHO Docket Portal?
Yes. Rules 9134 and 9135 in FINRA’s Code of Procedure state that the OHO Docket Portal is the required method of filing and service in proceedings before the Office of Hearing Officers.
A Respondent lacking access to the necessary technology to file, serve, and receive papers electronically through the OHO Docket Portal may file a motion seeking an accommodation to file, serve, and receive papers in hard copy instead. The Respondent shall file the motion by Express Mail or overnight delivery service with OHO to:
FINRA Office of Hearing Officers
1700 K Street, NW
Washington, DC 20006.
The Respondent must also serve the Department of Enforcement attorneys listed in the Notice of Complaint at the same time by the same method. The motion must explain the reason for the request.
How do I use the OHO Docket Portal?
See the OHO Docket Portal User Guide for detailed instructions on using the portal, including navigation, filing, service and available reference documents. The User Guide is also available in the Party Reference Documents widget in the OHO Docket Portal.
Download: OHO Docket Portal User Guide for Parties and Other Case Participants
Do I have to request an OHO Docket Portal account?
Yes, unless you already have one. To request access to a proceeding, click the “Request Access to an OHO Proceeding” button in the right navigation pane and complete the Access Request form. For detailed instructions on completing the form, see the guide below.
Download: How to Request Access to a Proceeding in the OHO Docket Portal
If I participate as a party in more than one case, do I need an account for each case?
No, but you must submit a new Access Request form for each proceeding. The Access Request form will guide you through the requirements.
I am an attorney representing a Respondent. How do I enter an appearance?
Submit an Access Request form and attach a Notice of Appearance. After access is granted, you must file the Notice of Appearance through the OHO Docket Portal Party Submissions tab.
What if I forgot my password?
Click “Forgot Password?” on the OHO Docket Portal login page and follow the instructions. If you need assistance, email [email protected] and include your name, contact information and proceeding number.
What if I need help logging into or using the OHO Docket Portal?
For assistance, email [email protected] or call (202) 728-8008. You may also click the “Schedule a Call” button in the right navigation pane. OHO Docket Portal support staff are available Monday through Friday during normal business hours.
What if I encounter difficulties filing a document after hours?
Email your filing to [email protected] and the assigned Case Administrator before 11:59 p.m. Eastern Time and include details about the issue. The Case Administrator will follow up with you the next business day.
How is Personal Confidential Information handled in the OHO Docket Portal?
Personal Confidential Information (“PCI”) is governed by a Protective Order issued in disciplinary proceedings and a Case Management and Scheduling Order issued in disciplinary and expedited proceedings. Refer to OHO’s Policies Governing PCI on this page and in the OHO Docket Portal under Party Reference Documents.
The OHO Docket Portal requires you to acknowledge its policies when logging in and certify that you have complied with its requirements before uploading a filing.