Sec. 9.3 (a) Whenever notice is required to be given by law, the Certificate of Incorporation, or these By-Laws, a written waiver thereof, signed by the person or persons entitled to such notice, or a waiver by electronic transmission by the person entitled to such notice, whether before or after the time stated therein, shall be deemed equivalent to notice. Neither the business to
Sec. 9.2 The fiscal year of FINRA Dispute Resolution shall begin on the first day of January in each year, or such other month as the Board may determine by resolution.
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.
Selected Notice: 10-32.
Sec. 9.1 The seal of FINRA Dispute Resolution shall be circular in form and shall bear, in addition to any other emblem or device approved by the Board, the name of FINRA Dispute Resolution, the year of its incorporation, and the words "Corporate Seal" and "Delaware." The seal may be used by causing it to be affixed or impressed, or a facsimile thereof may be
Sec. 8.8 The Board may fix a record date in accordance with Delaware law.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Adopted by SR-NASD-99-21 eff. July 9, 2000.
Sec. 8.7 In the event that any certificate representing shares of capital stock of FINRA Dispute Resolution shall be mutilated, FINRA Dispute Resolution shall issue a new certificate in place of such mutilated certificate. In the event that any such certificate shall be lost, stolen, or destroyed FINRA Dispute Resolution may, in the discretion of the Board or a committee appointed
Sec. 8.6 Each certificate representing capital stock surrendered to FINRA Dispute Resolution for exchange or transfer shall be canceled and no new certificate or certificates shall be issued in exchange for any existing certificate other than pursuant to Section 8.7 until such existing certificate shall have been canceled.
Deleted by SR-FINRA-2015-034 eff. Dec. 20,
Sec. 8.5 (a) The Board may make such rules and regulations as it may deem expedient, not inconsistent with law, the Certificate of Incorporation, or these By-Laws, concerning the issuance, transfer, and registration of shares of capital stock of FINRA Dispute Resolution. The Board may appoint, or authorize any principal officer to appoint, one or more transfer agents or one or more
Sec. 8.4 (a) A record of all certificates representing capital stock issued by FINRA Dispute Resolution shall be kept by the Secretary or any other officer, employee, or agent designated by the Board. Such record shall show the name and address of the person, firm, or corporation in which certificates representing capital stock are registered, the number of shares represented by each
Sec. 8.3 (a) Certificates representing shares of capital stock of FINRA Dispute Resolution shall be signed in the name of FINRA Dispute Resolution by two officers with one being the President or a Vice President, and the other being the Secretary or Treasurer. Such certificates may be sealed with the corporate seal of FINRA Dispute Resolution or a facsimile thereof.
(b) Any
