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Election Notice – 7/21/17

Notice of Annual Meeting of FINRA Firms and Proxy

Published Date:


FINRA will conduct its annual meeting of firms on Tuesday, August 22, 2017, at 10 a.m. Eastern Time in the FINRA Visitors Center, 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm and one large firm seat on the FINRA Board of Governors (FINRA Board).

It is important that all eligible large and small 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, it must be signed by the executive representative of the small or large firm eligible to vote in the election.

Small and large firms that are members of FINRA as of the close of business on Thursday, July 20, 2017 (the Annual Meeting record date), are 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, Executive Vice President, Board and External Relations, at (202) 728-8949; or
  • Jennifer Piorko Mitchell, Vice President, Corporate Governance, at (202) 728-8949.