Sec. 7.2 In the case of the absence or inability to act of the President of FINRA Regulation, or in the case of a vacancy in such office, the Board may appoint its Chair or such other person as it may designate to act as such officer pro tem, who shall assume all the functions and discharge all the duties of the President.
Amended by SR-FINRA-2008-046 eff. Nov. 6, 2008.
Sec. 7.1 The Board shall elect the officers of FINRA Regulation, which shall include a President, a Secretary, and such other executive or administrative officers as it shall deem necessary or advisable, including, but not limited to: Executive Vice President, Senior Vice President, Vice President, General Counsel, and Treasurer of FINRA Regulation. All such officers shall have such
Sec. 6.14 The Secretary of the Corporation may extend a time period under this Article for good cause shown. In extraordinary circumstances, the Secretary of the Corporation, with the approval of the Executive Committee or the FINRA Board, may adopt additional procedures for nominations under this Article.
Renumbered from Sec. 6.27 and amended by SR-FINRA-2008-046 eff. Nov. 6
Sec. 6.13 Under the direction of the Secretary of the Corporation or the Secretary’s designee, the Independent Agent shall count the votes received for each candidate. The candidate receiving the largest number of votes cast by FINRA members eligible to vote based on the firm size classifications (Small Firm, Mid- Size Firm, or Large Firm) defined in these By-Laws shall be declared the
Sec. 6.12 The Independent Agent shall declare a ballot invalid if one or more of the following conditions exists:
(a) the ballot is not signed by the Executive Representative (unless Section 6.11 applies);
(b) a vote is not indicated on the ballot; or
(c) a vote for more than one candidate is indicated on the ballot.
Renumbered from Sec. 6.24 and amended by SR-FINRA-2008-
Sec. 6.11 The Independent Agent shall set aside a ballot if: (a) the ballot is received from a FINRA member eligible to vote based on the firm size classifications (Small Firm, Mid-Size Firm, or Large Firm) defined in these By-Laws and the ballot is signed by a person who is not the Executive Representative listed on the vote qualification list prepared under Section 6.8, and the
Sec. 6.10 After the close of the voting period, the Independent Agent shall tabulate the ballots and notify the Secretary of the Corporation of the voting results for each National Adjudicatory position subject to election within 14 calendar days after the return date specified on the ballot pursuant to Section 6.7.
Amended by SR-FINRA-2016-014 eff. Aug. 11, 2016.
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
Sec. 6.8 Eligibility to vote on a nomination shall be based on FINRA’s membership records as of a date designated by the Secretary of the Corporation that is not more than 30 days before the date of mailing of the ballot. The Secretary of the Corporation shall prepare a list of FINRA members eligible to vote in the election and the names of their Executive Representatives, which shall
