15 Aug 2025
📄Impact of FINRA's OHO Portal Rule Change on Business Compliance
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Require Use of an Office of Hearing Officers Portal
Summary
The Securities and Exchange Commission announces FINRA's proposed rule change that mandates the use of the Office of Hearing Officers (OHO) Portal for filing and service of documents in disciplinary proceedings. This shift aims to enhance efficiency and document security in the adjudicatory process, streamlining the operations for parties involved.
Agencies
- Securities and Exchange Commission
Business Impact
$$ - Med
The proposed rule change mandates the use of the OHO Portal for filing and serving documents in OHO proceedings, impacting compliance and operational procedures for businesses in the financial sector, specifically those dealing with FINRA. This affects how businesses manage submissions and document exchanges, requiring them to adapt to new electronic systems.