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Rule
… beginning in January 2017 and ending in December 2019, during which members may be appointed to terms of office necessary to achieve the requirements of Section 5.6(b) of this Article</span>, each National Adjudicatory Council member shall hold office for a term of <span class="us">four</span> years or until a successor is duly appointed and qualified, …
Arbitration and Mediation
… How to Contact the Western Region Office Key Personnel at the West Region Office Laura McNamire Regional Director Phone: (213) 613-2678 D avid Newson Regional Manager Phone: (213) … the West Region Office By Phone: Main number for the Los Angeles office: (213) 613-2680 between the hours of 8 a.m. and 5 p.m. By Fax: (301) 527-4766 By Email: FINRA Dispute Resolution staff members can be reached …
Arbitration and Mediation
… How to Contact the Midwest Regional Office Key Personnel at the Midwest Region Office Carolann Gemski Regional Director Phone: (312) 899-4440 Shannon Bond Associate Regional Director Phone: … the Midwest Region Office By Phone: Main number for the Chicago office: (312) 899-4440 between the hours of 9 a.m. and 5 p.m. By Fax: (301) 527-4851 By Email: FINRA Dispute Resolution staff members can be reached …
Arbitration and Mediation
… How to Contact the Southeast Regional Office Key Personnel at the Southeast Region Office Manly Ray Regional Director Phone: (561) 447-4939 William Cassidy Associate Regional Director Phone: … Region Office By Phone: Main number for the Boca Raton office: (561) 416-0277 between the hours of 8 a.m. and 5 p.m. By Fax: (301) 527-4868 By Email: FINRA Dispute Resolution staff members can be reached by …
Arbitration and Mediation
June 21, 2016
… Western Regional Office Guide - Los Angeles FINRA Dispute Resolution, Inc. 300 S. Grand Avenue Suite 1700 Los Angeles, CA 90071 (213) 613-2680 Email FINRA Dispute Resolution Office Information Conference and Hearing Rooms The Los Angeles Office has 5 conference rooms available with … overhead projector/screen. Copies: All visitors are expected to bring with them an adequate number of documents and exhibits. This includes three copies for the Panel, a copy for each representative, and a …
Rule
… <div class="indent_firstpara"><strong>Sec. 3.</strong> Upon the Closing, the term of office of each Governor in office immediately prior to the Closing who is not to be a Governor as of Closing pursuant to this Article …
Rule
… shall be appointed by the Board from candidates recommended to the Board by the Nominating Committee. As of the first annual meeting of members following the Transitional Period, the Appointed Governors shall be divided by the Board into three classes, as equal in number as possible, with the first class holding office until the first succeeding annual meeting of members, the second class holding office until the second succeeding annual meeting of members and the third class holding office until the …
Arbitration and Mediation
… How to Contact the New York Regional Office Key Personnel at the Northeast Region Office Katherine Bayer Regional Director Phone: (212) 858-4382 Bola Aguda Associate Regional Director Phone: … Region Office By Phone: Main number for the New York office: (212) 858-4200 Between the hours of 9 a.m. and 5 p.m. By Email: FINRA Dispute Resolution staff members can be reached by email. Email …
Rule
… This rule is no longer applicable. The term "branch office manager" means a registered representative in charge of a branch office. Incorporated NYSE Rules - Rule 9. Incorporated NYSE Rules Rule 9. Rule … …
Interpretive Letter
August 15, 2006
… NASD Office of General Counsel, Regulatory Policy and Oversight NASD staff is issuing this memorandum to respond to questions regarding the scope of the guidance provided in Notice to Members 05-48 (July 2005) (Outsourcing: Members' Responsibilities When … have any questions regarding this memorandum, please contact Patricia Albrecht, Assistant General Counsel, Office of General Counsel, NASD Regulatory Policy and Oversight, at (202) 728-8026. 1 See endnote 2, NtM 05-48 …