IEX Adopts Video Calls for FINRA-Style Hearing Flexibility
Published Date: 3/9/2026
Notice
Summary
Investors Exchange LLC (IEX) is updating its rules to match FINRA’s new rules that let certain hearings happen over video calls. This change affects anyone involved in IEX hearings, making the process more flexible and modern without extra costs. The new rules took effect immediately after filing on February 23, 2026, so video hearings can start right away under specific conditions.
Analyzed Economic Effects
4 provisions identified: 2 benefits, 0 costs, 2 mixed.
IEX Allows Video Conference Hearings
IEX amended Rules 9.261, 9.341, 9.524, and 9.830 to allow hearings, oral argument, and appeals to be conducted, in whole or in part, by video conference when proceeding in person may endanger participants' health or safety, would be impracticable, or upon a joint motion showing good cause. The amended language mirrors FINRA's rules and took effect upon filing on February 23, 2026.
Video Hearings Limited by Safeguards
In-person hearings remain the default; video hearings are limited and controlled. For evidentiary hearings, motions for video must be joined by all parties and show good cause, the adjudicator has discretion to deny joint motions, and the Appeals Committee may permit oral argument by video unless a party shows the format would materially disadvantage them.
Technology and Access Are Considered
IEX will rely on the same protocols FINRA used (including a vetted video conferencing service and technical support) and adjudicators may consider a participant's access to connectivity and technology when deciding whether to order a video conference hearing. FINRA reported prior successful use of Zoom for video hearings.
Harmonization Reduces Compliance Differences
IEX states the amended rules harmonize its Code of Procedure with FINRA's rules and eliminate inconsistencies, which the Exchange says will reduce burdens on competition and regulatory compliance for Members and associated persons. The rule change is intended to create uniform procedures for video conference hearings.
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