Election Notice – 10/16/18

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

Executive Summary

The purpose of this Election Notice is to: (1) notify small firms of a contested election for a small firm member seat on the National Adjudicatory Council (NAC); and (2) distribute ballots to eligible FINRA small firm members.

Small firms that are members of FINRA as of the close of business on October 15, 2018, will be eligible to vote in this election. To be considered valid, a ballot must be signed by the executive representative of the eligible small firm. Ballots are due by November 15, 2018.

Note: This Notice was distributed electronically to the executive representative of each FINRA firm member and it is posted on FINRA’s website at www.finra.org/notices/NACElection/101618.

Questions regarding this Election Notice may be directed to: