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• • • Supplementary Material: --------------
.01 Uniform Delivery Ticket Form.
NO.
DELIVERY TICKET
NAME OF MEMBER:ADDRESS:
TELEPHONE
THE ATTACHED SECURITIES ARE DELIVERED AGAINST PAYMENT
CODES
ORIGINATOR NO.
TRANS. NO
SETT
(a) The Board shall appoint a Director of Mediation to administer mediations under the Code. The Director will consult with the NAMC on the administration of mediations, as necessary.
(b) The Director may delegate his or her duties when appropriate, unless the Code provides otherwise.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 10404 and amended by SR-NASD-
(a) Prehearing conferences will not be recorded unless the panel determines otherwise, either on its own initiative or upon motion of a party.
(b) If a prehearing conference is recorded, it may be recorded using any of the methods discussed under Rule 13606. The Director will provide a copy of the recording to any party upon request.
Amended by SR-FINRA-2016-029 eff. April 3, 2017
(a) Prehearing conferences will not be recorded unless the panel determines otherwise, either on its own initiative or upon motion of a party.
(b) If a prehearing conference is recorded, it may be recorded using any of the methods discussed under Rule 12606. The Director will provide a copy of the recording to any party upon request.
Amended by SR-FINRA-2016-029 eff. April 3, 2017
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 SR-FINRA-2008-046
Sec. 5.7 A member of the National Adjudicatory Council may resign at any time upon written notice of resignation to the FINRA Board. Any such resignation shall take effect at the time specified therein, or if the time is not specified, upon receipt thereof, and the acceptance of such resignation, unless required by the terms thereof, shall not be necessary to make such resignation effective.
Sec. 4.4 Except as otherwise provided by law, these By-Laws, or the Delegation Plan, Directors of FINRA Regulation shall be elected each year at the annual meeting of the stockholder, or at a special meeting called for such purpose in lieu of the annual meeting. If the annual election of Directors is not held on the date designated therefor, the Directors shall cause such election to be held
(a) General Requirements
All capital acquisition brokers are subject to FINRA Rule 4511.
(b) Customer Information
Each capital acquisition broker must maintain each customer's name and residence, whether the customer is of legal age (if applicable), and the names of any persons authorized to transact business on behalf of the customer.
(c) Records of Written Customer
Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security
SEC Approves Amendments to NASD Rule 11870 and NYSE Rule 412 to Conform with NSCC's ACATS Transfer Cycle Time Frames