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Nomination Process

Sec. 5.4  The Secretary of the Corporation shall collect from each nominee for the office of member of the National Adjudicatory Council such information as is reasonably necessary to serve as the basis for a determination of the nominee's classification as an Industry, Small Firm, Mid-Size Firm, Large Firm, Non-Industry, or Public Member, and the Secretary shall certify to the Nominating Committee each nominee's classification. After appointment to the National Adjudicatory Council, each member shall update such information at least annually and upon request of the Secretary, and shall report immediately to the Secretary any change in such classification.
Renumbered from Sec. 5.3 and amended by SR-FINRA-2008-046 eff. Nov. 6, 2008.
Amended by SR-NASD-98-36 eff. July 15, 1998.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.