Election Notice – 8/29/18

Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies

Published Date:
Nomination Deadline: September 28, 2018

Summary

The purpose of the Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees (formerly known as District Committees). The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule changes. Regional Committee members also may serve on disciplinary panels in accordance with FINRA rules.

In this election, Regional Committees for the South and West Regions each have six full-term vacancies, and the Midwest, North and New York Regions each have four full-term vacancies to fill. Eligible candidates will be included on the appropriate ballot if they submit a candidate nomination and profile form to the FINRA Corporate Secretary by Friday, September 28, 2018. The candidate nomination and profile form is available online at www.finra.org/RegionalElection/082918 and as an attachment to this Notice (see Attachment A).

On or about Tuesday, October 16, 2018, FINRA will mail the official Election Notice and ballots with names of all qualified individuals to the executive representatives of FINRA member firms as of the close of business on Monday, October 15, 2018 (the record date).

Note: This Notice was distributed electronically to the executive representative of each FINRA member firm and is posted on FINRA’s website. Executive representatives should circulate this Notice to their firm’s branch managers.

Questions concerning this Election Notice may be directed to:

  • Jennifer Piorko Mitchell, Vice President and Deputy Corporate Secretary, at (202) 728-8949; or
  • Chip Jones, Senior Vice President, Member Relations and Education, at (240) 386-4797 or via email.