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Election Notice – 8/13/18

FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council

Petitions for Candidacy Due: September 26, 2018

The purpose of this Election Notice is to announce the nomination process to fill one Small Firm vacancy on the National Adjudicatory Council (NAC).

FINRA’s Nominating and Governance Committee (Nominating Committee) determined it would not nominate a candidate for election in 2018. Instead, any eligible candidates who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures set forth in FINRA Regulation’s By-Laws and as further described in this Election Notice.

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

Questions regarding this Election Notice may be directed to:

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