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

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Up to Aug 1 2010

Aug 2 2010 onwards

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10-32 SEC Approves Amendments to FINRA Dispute Resolution By-Laws; Effective Date: August 2, 2010

By-Laws of FINRA Dispute Resolution, 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 OFFICERS, AGENTS, AND EMPLOYEES

Absence of the President

Agents and Employees

Delegation of Duties of Officers

Resignation and Removal of Officers

ARTICLE VI COMPENSATION

Compensation of Board, Council, and Committee Members

ARTICLE VII INDEMNIFICATION

Indemnification of Directors, Officers, Employees, Agents, and Committee Members

Indemnification Insurance

ARTICLE VIII CAPITAL STOCK

Sole Stockholder

Transfers of Stock

Lost, Stolen, Destroyed, and Mutilated Certificates

Fixing of Record Date

ARTICLE IX MISCELLANEOUS PROVISIONS

Waiver of Notice

Execution of Instruments, Contracts, Etc.

Form of Records

ARTICLE X AMENDMENTS; EMERGENCY BY-LAWS

Emergency By-Laws