Sec. 7.6 FINRA Regulation may secure the fidelity of any or all of its officers, agents, or employees by bond or otherwise.
Amended by SR-FINRA-2008-046 eff. Nov. 6, 2008.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
Sec. 7.5 (a) Any officer may resign at any time upon written notice of resignation to the Board, the President, or the Secretary. Any such resignation shall take effect upon receipt of such notice or at any later time specified therein. The acceptance of a resignation shall not be necessary to make the resignation effective.
(b) Any officer of FINRA Regulation may be removed, with or without
Sec. 7.4 The Board may delegate the duties and powers of any officer of FINRA Regulation to any other officer or to any Director for a specified period of time and for any reason that the Board may deem sufficient.
Amended by SR-FINRA-2008-046 eff. Nov. 6, 2008.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
Sec. 7.3 In addition to the officers, FINRA Regulation may employ such agents and employees as the Board may deem necessary or advisable, each of whom shall hold office for such period and exercise such authority and perform such duties as the Board, the President, or any officer designated by the Board may from time to time determine. Agents and employees of FINRA Regulation shall be under the
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.
Amended by SR-NASD-
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 titles,
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, 2008.
Amended
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 nominee
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-2008-046 eff. Nov. 6,
