Sec. 9.1 The Board may provide for reasonable compensation of the Chair of the Board, the Directors, National Adjudicatory Council members, and the members of any committee of the Board or any Regional Committee. The Board may also provide for reimbursement of reasonable expenses incurred by such persons in connection with the business of FINRA Regulation.
Amended by SR-FINRA-2018-021 eff. May
Sec. 8.19 (a) When used in Article VIII of these By-Laws, the term "Notice" means a notice in writing or by electronic transmission.
(b) For purposes of this Article VIII, any Notice by FINRA Regulation, the Secretary of FINRA Regulation, or the District Director given by electronic transmission shall be deemed given: (1) if by facsimile telecommunication, when
Sec. 8.18 The Secretary of FINRA Regulation may extend a time period under this Article for good cause shown. In extraordinary circumstances, the Secretary of FINRA Regulation, with the approval of the Executive Committee or the Board, may adopt additional procedures for elections under this Article.
Amended by SR-FINRA-2011-011 eff. April 28, 2011.
Amended by SR-FINRA-2008-046 eff. Nov. 6
Sec. 8.17 The Independent Agent shall count the votes received for each candidate in a district. The district-level candidates for the office of member of the Regional Committee receiving the largest number of votes cast by FINRA members eligible to vote in the district for the office shall be declared elected such that the number of candidates declared elected corresponds to the number of
Sec. 8.16 The Independent Agent shall declare a ballot invalid if one or more of the following conditions exist:
(a) the ballot is not signed by the Executive Representative (unless Section 8.15 applies);
(b) a vote is not indicated on the ballot; or
(c) the ballot indicates votes for more than one candidate per position subject to election.
Amended by SR-FINRA-2011-011 eff. April 28, 2011
Sec. 8.15 The Independent Agent shall set aside a ballot if: (a) the ballot is received from a FINRA member eligible to vote in the district and the ballot is signed by a person who is not the Executive Representative listed on the vote qualification list prepared under Section 8.12, and the Secretary of FINRA has not received proper notice of a change in Executive Representative pursuant to the
Sec. 8.14 After the close of the voting period, the Independent Agent shall tabulate the ballots and notify the Secretary of FINRA Regulation of the voting results for each Regional Committee position subject to election within 14 calendar days after the return date specified on the ballot pursuant to Section 8.11.
Amended by SR-FINRA-2018-021 eff. May 18, 2018.
Amended by SR-FINRA-2011-011
Sec. 8.13 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 address of record.
Amended by SR-FINRA-2011-011 eff. April 28, 2011.
Amended by SR-FINRA-2008-046 eff. Nov. 6, 2008.
Amended by SR-NASD-2003-
