Election Notice - 2/5/09

Notice of Contested Election and Ballot for Small Firm National Adjudicatory Council Member Seat

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 firms 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 the election of a Small Firm NAC member. In order for a ballot to be considered valid, the executive representative of a small firm eligible to vote in the election must sign it. Ballots must be postmarked on or before March 9, 2009.

Small firms that are FINRA members as of the close of business on February 4, 2009, will be eligible to vote.

Questions regarding this Election Notice may be directed to:

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