Election Notice - 10/15/14

Notice of Election and Ballots for FINRA Small Firm NAC Member Seat

Ballots Due: November 14, 2014

Executive Summary

The purpose of this Election Notice is to notify small firms of the election for the open National Adjudicatory Council (NAC) Small Firm seat and to distribute to eligible FINRA small firm members the ballots to vote for a Small Firm NAC Member.

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 October 14, 2014, will be eligible to vote.

Ballots must be returned no later than November 14, 2014.

Note: This Notice was distributed electronically to the executive representative of each FINRA member firm and it is posted on FINRA’s website at www.finra.org/notices/NACElection/101514. 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
  • Paul Robichaux, Governance Analyst, Office of the Corporate Secretary, at (202) 728-8949.