Communication of Views Regarding Contested Election or Nomination

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 communicate his or her views with respect to a candidate if such individual acts solely in his or her individual capacity and disclaims any intention to communicate in any official capacity on behalf of FINRA Dispute Resolution, the Board, or any committee. FINRA Dispute Resolution, the Board, any committee, and the FINRA Dispute Resolution staff shall not provide any administrative support to any candidate in a contested election or nomination conducted pursuant to the FINRA By-Laws or the FINRA Regulation By-Laws.