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Election Notice – 6/21/16

Upcoming FINRA Board of Governors Election

Petitions for Candidacy Due: August 5, 2016

Executive Summary

The annual meeting of FINRA firms will take place on or about Monday, September 19, 2016, to elect one Small Firm Governor, and one Large Firm Governor to the FINRA Board of Governors (FINRA Board).

A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about August 19, 2016.

Eligible individuals who have not been nominated for election to the FINRA Board by the Nominating Committee may be included on the ballot for the election of governors by following the petition procedures set forth in the By-Laws and as further described in this Election Notice.

Note: FINRA distributed this Notice electronically to the executive representative of each FINRA firm and it is posted online at Executive representatives should circulate this Notice to their firms’ 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
  • Jennifer Piorko Mitchell, Deputy Corporate Secretary, at (202) 728-8415.