Election Notice – 7/23/18

Notice of Annual Meeting of FINRA Firms and Proxy

Executive Summary

FINRA will conduct its Annual Meeting of firms on Tuesday, August 28, 2018, at 2:00 p.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat, one mid-size firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board).

It is important that all eligible firms be represented by proxy or in person at the Annual Meeting. Firms are urged to vote 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 the firm eligible to vote in the election.

Firms that are members of FINRA as of the close of business on Friday, July 20, 2018 (the Annual Meeting record date), are eligible to vote.

Note: This Notice was mailed and sent electronically to the executive representative of all large firms. In addition, it is posted online at www.finra.org/notices/election/072318.

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