FINRA Moves to All Electronic Delivery of Information Requests

FINRA amended its rules on transmission of requests for documents, testimony, and written responses to member firms to require delivery exclusively through FINRA Gateway.

FINRA's amendment to FINRA Rule 8210 ("Provision of Information and Testimony and Inspection and Copying of Books") amends the prior rule, which required required FINR staff to mail the same request by physical post. FINRA said this process created redundant administrative burdens.

The amendment does not alter delivery requirements for Rule 8210 requests sent to associated persons, including registered persons, which would continue to be served by mail or personal service. The amendment also does not change how member firms may respond to requests.

The amendment is effective upon receipt by the SEC, but FINRA will consider comments submitted through May 21, 2026.