FINRA Adopts Amendments to Require Use of a Portal in Proceedings Before the Office of Hearing Officers

Summary 

FINRA has developed a secure electronic portal to replace email as the primary method for the filing and service of documents in Office of Hearing Officers (OHO) proceedings. These amendments modernize service and filing processes in a manner that will protect investors and the public interest by promoting efficiency while preserving fair process in OHO proceedings. The amendments become effective on October 7, 2025.

Questions concerning this Notice should be directed to: 

• Ilana Herscovitz Reid, Associate General Counsel, Office of General Counsel, by email or (202) 728-8268;
• Maureen Delaney, Senior Vice President and Chief Hearing Officer, OHO, by email or (202) 728-8153; or 
• Carla Carloni, Vice President and Deputy Chief Hearing Officer, OHO, by email or (202) 728-8019.

Background & Discussion

OHO serves as FINRA’s adjudicatory forum for disciplinary proceedings and expedited proceedings, including hearings for temporary and permanent cease and desist orders. Since 2020, FINRA has permitted email service and filing in OHO proceedings.¹ Those changes reduced FINRA’s reliance on paper documents in favor of more efficient electronic formats. 

To further improve efficiency in OHO proceedings, FINRA developed a secure web-based system that is accessible by parties and their representatives in proceedings before OHO (OHO Docket Portal).² Invited participants are permitted to access the secure web-based system to submit documents, serve other parties (with exceptions, as described below), and view their case information and documents. When a party submits pleadings or documents through the OHO Docket Portal, the party accomplishes both filing with OHO as well as service on the other parties. 

The OHO Docket Portal will allow parties to view and retrieve all filings at a single location in chronological order, easily verify receipt of documents submitted, and provide a calendar of deadlines and key dates. FINRA will provide step-by-step instructions and training videos for filing new cases and using the OHO Docket Portal. FINRA also intends to periodically update and enhance the OHO Docket Portal.

FINRA has amended its rules to require documents in OHO proceedings to be served and filed through the OHO Docket Portal.³ The amendments will also require that persons representing themselves or others provide an email address at the time they make any filing or otherwise appear before OHO.⁴ This will support the transition to the OHO Docket Portal because an email address is necessary to register with the OHO Docket Portal.

The amendments provide for reasonable accommodations to the extent an applicant, respondent or other party lacks the ability to use or access technology needed to file, serve or accept service through the OHO Docket Portal. The process for requesting an alternative method of service or filing will be posted to FINRA’s website, as well as explained in the Notice of Complaint.⁵ If a party shows good cause, the Hearing Officer, Hearing Panel or Extended Hearing Panel will order that filing or service occur by another method rather than the OHO Docket Portal.

There are two exceptions to the requirement to use the OHO Docket Portal. The first exception is for complaints. FINRA rules do not permit FINRA to serve a complaint on a respondent electronically. Under the amended rules, FINRA will file a complaint through the OHO Docket Portal but will not serve the complaint through the OHO Docket Portal. The only permissible methods for FINRA to serve a complaint are by personal service, mail or courier. The second exception is for service of papers in default cases. In default cases, where the respondent failed to answer the complaint, failed to appear at an initial pre-hearing conference, or failed to appear at a hearing, the respondent may not have registered with the OHO Docket Portal or otherwise have access to it. Thus, service of papers in default cases must continue to be by personal service, mail or courier.

Effective Date

The amendments will become effective on October 7, 2025.⁶

Endnotes