Election Notice – 10/17/12

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

 

Ballots Due: November 16, 2012

 

Executive Summary

The purpose of this Election Notice is to notify small firms of the 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.

 

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 16, 2012, will be eligible to vote.

 

Ballots must be returned no later than November 16, 2012.

 

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/101712.

 

Questions regarding this Election Notice may be directed to:

  • Marcia E. Asquith, Senior Vice President and Corporate Secretary, at  (202) 728-8949; or
  • Jennifer Piorko Mitchell, Assistant Corporate Secretary, at (202) 278-8949.