Election Notice – 10/25/11

Notice of Nominee to Fill FINRA Board of Governors Large Firm Seat

Executive Summary

FINRA will conduct a special meeting of large member firms on Friday, January 6, 2012, to elect one individual to fill a vacant Large Firm Governor seat on the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise time and location, will be mailed to executive representatives on or about Friday, December 9, 2011.


The individual nominated by the Nominating Committee of the FINRA Board for election to the vacant Large Firm Governor seat is Gregory J. Fleming, President of Morgan Stanley Smith Barney and President of Morgan Stanley Investment Management.


Eligible individuals who were not nominated may petition to have their name included on the ballot by following the procedures included below.


Note: This Notice was distributed electronically to the Executive Representative of each FINRA large member firm and it is posted on FINRA’s website at www.finra.org/notices/election/102511. Executive representatives should circulate this Notice to their firm’s 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
  • T. Grant Callery, Executive Vice President and General Counsel, at (202) 728-8285.

The special meeting of large firms will take place on Thursday, January 12, 2012, at 4:30 p.m. Eastern Time at FINRA's Washington, DC, office at 1735 K Street, NW. Please see Election Notice 12/14/11 for details.