Ballots Returned As Undelivered
Sec. 6.9 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 FINRA member's address of record.
|Amended by SR-FINRA-2016-014 eff. Aug. 11, 2016.
Renumbered from Sec. 6.21 and amended by SR-FINRA-2008-046 eff. Nov. 6, 2008.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
Selected Notice: 16-27