FINRA announces electronic filing amendments

Federal Issues FINRA Electronic Filing

On July 20, FINRA announced that it has amended its rules to permit, and in some cases to require, electronic service and filing of documents in disciplinary and other proceedings and appeals. FINRA also announced that it amended its rules to require parties in proceedings before the Office of Hearing Officers to file and serve the parties with their current email address and contact information at the time of their first appearance, and to file and serve any change in email address or contact information during the course of the proceeding. The amendments are effective August 22.