Ballots Returned As Undelivered
Sec. 8.13 The Independent Agent shall investigate any ballot returned undelivered and shall determine whether it was sent to the FINRA member's address of record. If incorrectly addressed, the Independent Agent shall send a new ballot to the address of record.
| Amended by SR-FINRA-2011-011 eff. |
Vote Qualification List
Sec. 8.12 Eligibility to vote in a district-level election shall be based on FINRA's membership records as of a date selected by the Secretary of FINRA Regulation that is not more than 30 days before the date of mailing of the ballot.
Ballots
Sec. 8.11 The Secretary of FINRA Regulation shall send a ballot to the Executive Representative of each FINRA member eligible to vote in the district.
Administrative Support
Sec. 8.10 The Secretary of FINRA Regulation shall provide administrative support to all candidates, according to procedures published by the Secretary. Any candidate may also send communications to FINRA members eligible to vote in the district at the candidate's own expense, provided that such communications clearly state that they represent the opinions of the candidate.
FINRA Members Eligible to Vote
Sec. 8.9 A FINRA member that is headquartered in the district shall be eligible to cast one vote through the FINRA member's Executive Representative for each position to be filled in the election representing that district on the Regional Committee.
Self-Nomination of Candidates and Vacancy Appointments
Sec. 8.8 (a) An individual who meets the qualification requirements of Section 8.2(a) wishing to be considered for election to the Regional Committee shall deliver a written Notice to the Secretary of FINRA Regulation within 30 calendar days after the Secretary of FINRA Regulation gives the Notice of the upcoming elections pursuant to Section 8.7.
Expenses of Regional Committees
Sec. 8.6 Funds to meet the regular expenses of each Regional Committee shall be provided by the Board, and all such expenses shall be subject to the approval of the Board.
| Amended by SR-FINRA-2018-021 eff. May 18, 2018. Amended by SR-FINRA-2011-011 eff. April 28, 2011. |