Election Notice 12/14/11

Notice of Special Meeting of FINRA Large Firms to Elect Large Firm Governor and Proxy

Executive Summary

The Financial Industry Regulatory Authority, Inc. (FINRA) will conduct a special meeting of large firms on Thursday, January 12, 2012, at 4:30 p.m. Eastern Time at FINRA’s Washington, DC, office at 1735 K Street, NW. The purpose of the meeting is to elect an individual to fill a vacant Large Firm Governor seat on FINRA’s Board of Governors.

 

For quorum purposes, it is important that all large firms be represented by proxy or in person at the special meeting. Large firms are urged to vote in the election using one of the methods described below. In order for a proxy to be considered valid, it must be signed by the executive representative of a large firm eligible to vote in the election.

 

Large firms that are members of FINRA as of the close of business on Tuesday, December 13, 2011, (the special meeting record date) will be eligible to vote in this election.

 

Note: This Notice was mailed to the executive representative of all large firms and sent electronically to the executive representative of every FINRA member firm. It is also posted on FINRA’s website at www.finra.org/notices/election/121411.

 

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.