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Bond

Sec. 5.6  FINRA Dispute Resolution may secure the fidelity of any or all of its officers, agents, or employees by bond or otherwise.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2010-007 eff. Aug. 2, 2010.
Adopted by SR-NASD-99-21 eff. July 9, 2000.

Agents and Employees

Sec. 5.3  In addition to the officers, FINRA Dispute Resolution may employ such agents and employees as the Board may deem necessary or advisable, each of whom shall hold office for such period and exercise such authority and perform such duties as the Board, the President, or any officer designated by the Board may from time to time determine.