Election Notice – 10/19/11

Notice of Contested Election and Ballots for Small Firm NAC Member Seat

Executive Summary

The purpose of this Election Notice is to notify small firms of a contested election for the open National Adjudicatory Council (NAC) Small Firm seat and to distribute to eligible FINRA small firm members the ballots to vote for a Small Firm NAC Member. The vacant Large Firm NAC Member seat was not contested.

 

Small firms are urged to vote in this election. In order for a ballot to be considered valid, it must be signed by the executive representative of the small firm eligible to vote in the election. Small firms that are members of FINRA as of the close of business on October 18, 2011, are eligible to vote.

 

Ballots must be returned no later than November 18, 2011.

 

Note: This Notice was distributed electronically to the executive representative of each FINRA member firm and it is posted on FINRA’s website at www.finra.org/notices/NACElection/101911.


Questions regarding this Election Notice may be directed to:

  • Marcia E. Asquith, Senior Vice President and Corporate Secretary, at (202) 728-8949; or
  • Marc Menchel, Executive Vice President and Regulatory General Counsel, at (202) 728-8410.