Election Notice - December 8, 2008

FINRA Announces Changes in Composition of National Adjudicatory Council and Nominees for Vacant Small Firm and Large Firm Industry Seats

Executive Summary

The purpose of this Election Notice is to notify FINRA member firms of recent changes in the composition of FINRA's National Adjudicatory Council (NAC) and to announce FINRA's nominees for open industry seats on the NAC. Two industry NAC seats are open: one for a Small Firm NAC member and one for a Large Firm NAC member.

 

The Nominating and Governance Committee reviewed the backgrounds of potential candidates and nominated the following individuals: James Stephen "Jim" Jones for the Small Firm NAC seat and Pamela K. Cavness for the Large Firm NAC seat. Eligible individuals who were not nominated may petition to have their name included on a ballot for a contested election by following the procedure below.

 

Note: This Notice was distributed electronically to the executive representative of each FINRA member firm and it is posted on FINRA's Web site at www.finra.org/Notices/Election/120808. Executive representatives should circulate this Notice to their firms' branch managers.