Regulatory Alerts2025-09-17 | Regulatory Notice 25-10Added · Updated
FINRA Amends Rules to Require Use of OHO Docket Portal for Filing and Service
FINRA has adopted amendments requiring parties in Office of Hearing Officers proceedings to file and serve documents through the new OHO Docket Portal, replacing email as the primary method. The rule mandates that persons representing themselves or others provide an email address to register for the portal, with exceptions for serving complaints and papers in default cases which must still be served by personal service, mail, or courier. Reasonable accommodations are available for parties unable to access the technology, and the amendments become effective on October 7, 2025.
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