FINRA Forces Portal Use: Bye-Bye Email in Hearings
Published Date: 8/15/2025
Notice
Summary
Starting now, FINRA requires everyone involved in hearing cases to use a special online portal called the Office of Hearing Officers Portal. This change makes filing and sharing documents faster and easier, replacing email and paper methods. It affects all parties in FINRA hearings and kicks in immediately, with no extra costs.
Analyzed Economic Effects
5 provisions identified: 5 benefits, 0 costs, 0 mixed.
OHO Portal Becomes Required for OHO Filings
FINRA requires parties in Office of Hearing Officers (OHO) proceedings to file and serve most papers using the OHO Portal. FINRA filed the change on August 8, 2025 (effective upon filing) and the rule becomes operative 60 days after filing (October 7, 2025).
Service Exceptions: Complaints and Default Cases
FINRA will continue to require that complaints and papers in default cases be served by personal service, mail, or courier rather than through the OHO Portal. The OHO Portal method applies only to proceedings before OHO and not to other adjudicatory proceedings.
Reasonable Accommodations Allowed for Those Without Tech
If a party lacks the ability to use or access the technology needed for the OHO Portal, FINRA will provide reasonable accommodations and parties can request an alternative filing or service method; a Hearing Officer or panel can order alternative methods for good cause.
Filings/Service Are Complete Upon Portal Submission
Under the new rules, filing or service through the OHO Portal is complete upon submission to the Portal, and certificates of service must indicate the OHO Portal as the method of service. This replaces email as the primary method of service for most OHO papers.
Accounts, Email Requirement, and User Supports
Access to the OHO Portal is through accounts tied to a participant's email; OHO staff will provision accounts and send credentials via encrypted email, first-time users must change default passwords, and FINRA will provide manuals, quick guides, FAQs, training videos and user support on www.finra.org.
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