Sec. 6.1 The Board may provide for reasonable compensation of the Chair of the Board, the Directors, and the members of any committee of the Board. The Board may also provide for reimbursement of reasonable expenses incurred by such persons in connection with the business of FINRA Dispute Resolution.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR
Sec. 4.16 FINRA Dispute Resolution, the Board, any committee, and FINRA Dispute Resolution staff shall not take any position publicly or with a FINRA member or person associated with or employed by a member with respect to any candidate in a contested election or nomination held pursuant to the FINRA By-Laws or the FINRA Regulation By-Laws. A Director or committee member may
Sec. 4.2 The exact number of Board members will be determined by resolution adopted by the stockholder of FINRA Dispute Resolution from time to time. Any new Director position created as a result of an increase in the size of the Board shall be filled pursuant to Section 4.4.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2010-007 eff. Aug
Sec. 3.1 Any action required or permitted by law to be taken at any meeting of the stockholder of FINRA Dispute Resolution may be taken without a meeting, without prior notice and without a vote, if a consent in writing, setting forth the action so taken, is signed by the holder of the outstanding stock.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended
Sec. 12.5 Any records maintained by FINRA Regulation in the regular course of business, including its stock ledger, books of account, and minute books, may be kept on, or be in the form of, magnetic tape, computer disk, or any other information storage device, provided that the records so kept can be converted into clearly legible form within a reasonable time.
Amended by SR-
"Broker Dealer Only" refers to FINRA-registered representatives and firms. "Dual Representatives" refers to FINRA-registered representatives and firms who are also registered as investment advisers. "Investment Adviser Only" refers to individuals and firms who are registered only as investment advisers and are overseen by the SEC or state regulators. “Securities
"Broker Dealer Only" refers to FINRA-registered representatives and firms. "Dual Representatives" refers to FINRA-registered representatives and firms who are also registered as investment advisers. "Investment Adviser Only" refers to individuals and firms who are registered only as investment advisers and are overseen by the SEC or state regulators. “Securities
