Zoom Security Features for FINRA Disciplinary Hearings with the Office of Hearing Officers

FINRA offers video-conferencing through the Zoom platform, accessible via finra.zoom.us.

Zoom Security Features

FINRA implements the following security measures for all disciplinary hearings conducted by Zoom:

  • a unique, randomly-generated meeting ID;
  • a unique, randomly-generated meeting password to be admitted to the meeting; and
  • use of the “waiting room feature” to ensure that only invited participants are admitted to the hearing.

In addition, FINRA-administered disciplinary hearings are restricted to Zoom’s US data centers.

For additional information on how Zoom maintains the security of its service, visit Zoom's Privacy and Security Page or consult Zoom's Security Whitepaper.

Zoom Process for Disciplinary Hearings with the Office of Hearing Officers

Prior to the Proceeding

FINRA’s Office of Hearing Officers provides ongoing support and training on using Zoom. Prior to a proceeding, FINRA’s Office of Hearing Officers will set up a Zoom “trial run” with the parties to test their equipment, familiarize them with the Zoom platform and ensure that they understand the various functions (including share screen and breakout rooms).

During The Proceeding

Prior to the commencement of a proceeding, the Case Administrator from the Office of Hearing Officers will ask the parties to join the hearing 15-30 minutes early to ensure that everyone is set up for the proceeding.

Once all participants have joined, the meeting will be locked to prevent any additional attendees from joining.

The Office of Hearing Officers Case Administrator will be available during the proceeding to:

  • control the entry of participants and witnesses to the proceeding;
  • facilitate the use of breakout rooms where required; and
  • troubleshoot any technical issues.

Additional Resources

If you have further questions, you can contact the Case Administrator assigned to the disciplinary proceeding.

In addition, Zoom has some resources you may find helpful: