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Election Notice - 7/12/10

Notice of Annual Meeting of FINRA Firms and Proxy

Published Date:

The Financial Industry Regulatory Authority, Inc. (FINRA) will conduct its annual meeting of firms on Thursday, August 12, 2010, at 10 a.m. in the FINRA Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to elect individuals to fill the seven Elected Governor seats on the FINRA Board of Governors (FINRA Board) and to vote on proxy proposals submitted by a member firm.

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 proxy to be considered valid, the executive representative of the firm eligible to vote must sign it.

Firms that are members of FINRA as of the close of business on July 9, 2010 (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
  • T. Grant Callery, Executive Vice President and General Counsel, at (202) 728-8285.