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Election Notice – 8/19/16

Notice of Annual Meeting of FINRA Firms and Proxy

Note: On August 31, 2016, FINRA changed the annual meeting record date to Tuesday, August 30, 2016.

Executive Summary

FINRA will conduct its annual meeting of firms on Monday, September 19, 2016, 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 an individual to fill one small firm seat on the FINRA Board of Governors (FINRA Board).

It is important that all 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 mailed proxy to be considered valid, the executive representative of the small firm eligible to vote in the election must sign it.

Small firms that are members of FINRA as of the close of business on Tuesday, August 30, 2016 (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, Senior Vice President and Corporate Secretary, at (202) 728-8949; or
  • Jennifer Piorko Mitchell, Deputy Corporate Secretary, at (202) 728-8949.