Election Notice 5/4/10

Nominees for FINRA Board of Governors

Executive Summary

The annual meeting of FINRA firms will take place on or about Monday, August 2, 2010, to elect individuals to fill the seven Elected Governor seats on the FINRA Board of Governors (FINRA Board). There are three Small Firm Governor seats, one Mid-Size Firm Governor seat and three Large Firm Governor seats up for election.

 

A formal notice of the meeting, including the precise time and location, will be mailed on or about July 2, 2010.

 

The individuals nominated by the FINRA Board's Nominating Committee for election to the FINRA Board are listed in Attachment A of this Notice. A person who has not been so nominated for election may be included on the ballot for the election of governors by following the petition procedures further described in this Election Notice.

 

The Nominating Committee's nominees for the Appointed Governor seats on FINRA's Board were also recently appointed by the Board and are listed in Attachment B of this Notice.

 

Note: FINRA distributed this Notice electronically to the executive representative of each FINRA firm and it is posted online at www.finra.org/Notices/Election/050410. Executive representatives should circulate this Notice to their firms' branch managers.

 

Questions regarding this Election Notice may be directed to:

 

  • Marcia E. Asquith, Senior Vice President and Corporate Secretary, at (202) 728-8949; or
  • T. Grant Callery, Executive Vice President and General Counsel, at (202) 728-8285.