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Election Notice – 7/28/15

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

Petitions for Candidacy Due: September 11, 2015

Executive Summary

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 any individuals for the Small Firm NAC seat.

Eligible individuals may petition to have their name included on a ballot for election by following the procedure below.

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