Election Notice – 6/11/18

Notice of Special Meeting of Large Firms and Proxy

Executive Summary

FINRA will conduct a Special Meeting of large firms on Thursday, June 28, 2018, at 9:00 a.m. EDT in the FINRA Visitors Center at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect one individual to fill a Large Firm Governor seat on the FINRA Board of Governors (Board).

It is important that all eligible large firms be represented by proxy or in person at the Special Meeting. Large firms are urged to vote using one of the methods described below. In order for a proxy to be considered valid, it must be signed by the executive representative of the large firm eligible to vote in the election.

Large firms that are members of FINRA as of the close of business on Friday, June 8, 2018 (the Special Meeting record date), are eligible to vote in this election.

Note: This Notice was mailed and sent electronically to the executive representative of all large firms. In addition, it is posted online at www.finra.org/notices/election/061118.

Questions regarding this Election Notice may be directed to:

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