NASD Notice to Members 06-40 - August 2006

Nominees for District Committee and District Nominating Committee

Executive Summary

The purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees.1 The individuals identified in this Special Notice (see Attachment A) have been nominated for three-year terms2 on the District Committees, and for one-year terms on the District Nominating Committees, starting in January 2007. These nominees will be considered duly elected on September 1, 2006, unless an election is contested in accordance with the procedures summarized below. Also identified in Attachment A is the total number of candidates for the District Committee and/or the District Nominating Committee in each district. We appreciate the substantial interest shown by all of the candidates participating in the District Elections, and thank everyone for their continuing support of the self-regulatory process.

 

Questions concerning this Special Notice may be directed to the District Office contact noted in Attachment A, or to Barbara Z. Sweeney, Senior Vice President and Corporate Secretary, NASD at (202) 728-8062 or via email.

 

1 In addition to nominating a slate of candidates for each of these committees, each District Nominating Committee may nominate one alternate candidate for each committee. The nomination of alternate candidates is permitted under Section 8.17 of the NASD Regulation By-Laws. Attachment A identifies each District Nominating Committee's slate of nominees, plus alternate candidates (if any).

 

2 Some nominees are filling existing vacancies and therefore may serve less than a three-year term, as indicated on Attachment A.