View Whole SectionText only Print Print Manager Link
Previous Next
  Versions
(3 versions)
 

0170. Delegation, Authority and Access

(a) The Financial Industry Regulatory Authority, Inc. delegates to its subsidiaries, FINRA Regulation, Inc. and FINRA CAT, LLC (hereinafter "Subsidiaries"), the authority to act on behalf of FINRA as set forth in a Plan of Allocation and Delegation adopted by the Board of Governors and approved by the SEC pursuant to its authority under the Exchange Act.
(b) Notwithstanding any delegation of authority to the Subsidiaries pursuant to this Rule, the staff, books, records and premises of the Subsidiaries are the staff, books, records and premises of FINRA subject to oversight pursuant to the Exchange Act, and all officers, directors, employees and agents of the Subsidiaries are the officers, directors, employees and agents of FINRA for purposes of the Exchange Act, subject to applicable provisions of the National Market System Plan Governing the Consolidated Audit Trail.
Amended by SR-FINRA-2019-015 eff. Apr. 24, 2019.
Amended by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2008-026 eff. Dec. 15, 2008.
Amended by SR-NASD-2006-104 eff. March 5, 2007.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006
Adopted by SR-NASD-96-16 eff. Apr. 11, 1996.

Selected Notices: 08-57, 16-04.

Previous Next