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Election Notice – 6/30/15

Notice of Annual Meeting of FINRA Firms and Proxy

Executive Summary

FINRA will conduct its annual meeting of firms on Thursday, July 30, 2015, at 2 p.m. Eastern Time at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat, one mid-size firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board).

It is important that all firms be represented by proxy or in person at the annual meeting. Firms are urged to vote using one of the methods described below. In order for a mailed proxy to be considered valid, the executive representative of the firm eligible to vote in the election for that category of governorship must sign it.

Firms that are members of FINRA as of the close of business on Monday, June 29, 2015 (the annual meeting record date), will be eligible to vote.

Note: This Notice was mailed and sent electronically to the executive representative of each FINRA member firm. It is also posted on FINRA’s website at

Questions regarding this 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) 728-8949.