Election Notice - 9/18/09

FINRA Notice of Contested Election and Ballots for Small Firm NAC 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 Mid-Sized Firm NAC Member seat was not contested.

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 September 17, 2009, will be eligible to vote.

Ballots must be returned by October 19, 2009.

Note: This Notice was distributed electronically to the executive representative of each FINRA member firm and it is posted on FINRA's Web site at www.finra.org/notices/election/091809.

Questions regarding this Election Notice may be directed to:

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