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Up to Nov 5 2008Nov 6 2008 onwards

Agents and Employees

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 supervision and control of the officers of the FINRA Regulation, unless the Board, by resolution, provides that an agent or employee shall be under the supervision and control of the Board.
Amended by SR-FINRA-2008-046 eff. Nov. 6, 2008.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.

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