Election Notice - 5/3/11

Upcoming FINRA Board of Governors Election of a Small Firm and Large Firm Governor

The annual meeting of FINRA firms will take place on or about Wednesday, August 3, 2011, to elect one Small Firm Governor and one Large Firm Governor on the FINRA Board of Governors (FINRA Board).

A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about June 29, 2011.

Eligible individuals who were not nominated for election to the FINRA Board by the Nominating Committee for the Large Firm seat—and eligible individuals for the Small Firm seat—may be included on the ballot for the election of governors by following the petition procedures set forth in the By-Laws and  as further described in this Election 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/050311. 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.