Election Notice – 10/1/15

Nomination of a Small Firm NAC Member Candidate

Executive Summary

The purpose of this Election Notice is to announce the nominee to fill the Small Firm vacancy on the National Adjudicatory Council (NAC).

Since the FINRA Nominating Committee determined it would not nominate an individual for election in 2015, any individual who successfully petitioned would be certified as a candidate. Only one individual successfully petitioned to be a candidate; therefore, an election is not necessary.

The sole Small Firm NAC Member candidate is Joshua Rogers, Chief Executive Officer (CEO) of Arete Wealth Management, LLC, in Schaumburg, Illinois. Mr. Rogers will begin his term on January 1, 2016, after appointment by the FINRA Board of Governors.

Questions regarding this Election Notice may be directed to:

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