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Location: FINRA Manual > Corporate Organization > By-Laws of FINRA Regulation, Inc.

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(2 versions)

Up to Nov 5 2008

Nov 6 2008 onwards

By-Laws of FINRA Regulation, Inc.

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Contents:

ARTICLE I DEFINITIONS

ARTICLE II OFFICES

Change of Location

ARTICLE III MEETINGS OF THE STOCKHOLDER

Action by Consent of Stockholder

ARTICLE IV BOARD OF DIRECTORS

Number of Directors

Disqualification

Filling of Vacancies

Quorum and Voting

Notice of Meetings; Waiver of Notice

Conflicts of Interest; Contracts and Transactions Involving Directors

Action Without Meeting

Communication of Views Regarding Contested Election or Nomination

ARTICLE V NATIONAL ADJUDICATORY COUNCIL

Number of Members and Qualifications

Nomination Process

Rejection of Nominating Committee Nominee

Disqualification

Filling of Vacancies

Quorum and Voting

Review Subcommittee

ARTICLE VI SELECTION OF SMALL FIRM, MID-SIZE FIRM AND LARGE FIRM INDUSTRY MEMBERS OF THE NATIONAL ADJUDICATORY COUNCIL

Identification of Candidates

Designation of Additional Candidates

List of FINRA Members Eligible to Vote

Uncontested Nomination

Notice of Contested Nomination

Administrative Support

Vote Qualification List

Ballots Returned As Undelivered

General Procedures for Qualification and Accounting of Ballots

Ballots Set Aside

Invalid Ballots

Certification of Nomination

Extension of Time and Additional Procedures

ARTICLE VII OFFICERS, AGENTS, AND EMPLOYEES

Absence of the President

Agents and Employees

Delegation of Duties of Officers

Resignation and Removal of Officers

ARTICLE VIII DISTRICT COMMITTEES

Establishment of Districts and Regions

Composition of District Committees

Term of Office of District Committee Members

Filling of Vacancies on District Committees

Meetings of District Committees

Expenses of District Committees

Solicitation of Candidates and Secretary's Notice to FINRA Members

Self-Nomination of Candidates and Vacancy Appointments

FINRA Members Eligible to Vote

Administrative Support

Vote Qualification List

Ballots Returned As Undelivered

General Procedures for Qualification and Accounting of Ballots

Ballots Set Aside

Invalid Ballots

Election Results

Extensions of Time and Additional Procedures

ARTICLE IX COMPENSATION

Compensation of Board, Council, and Committee Members

ARTICLE X INDEMNIFICATION

Indemnification of Directors, Officers, Employees, Agents, National Adjudicatory Council and Committee Members

Indemnification Insurance

ARTICLE XI CAPITAL STOCK

Sole Stockholder

Transfers of Stock

Lost, Stolen, Destroyed, and Mutilated Certificates

Fixing of Record Date

ARTICLE XII MISCELLANEOUS PROVISIONS

Waiver of Notice

Execution of Instruments, Contracts, Etc.

Form of Records

ARTICLE XIII AMENDMENTS; EMERGENCY BY-LAWS

Emergency By-Laws

Schedule A to the FINRA Regulation By-Laws