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Election Notice – 10/16/18

Notice of FINRA Regional Committee Elections and Ballots

Published Date:
Ballot Due Date: November 15, 2018

Executive Summary

The purpose of this Election Notice is to notify firms of: (1) the upcoming elections to fill vacancies on the FINRA Regional Committees (formerly known as District Committees); and (2) the distribution of ballots to eligible firms.

For a ballot to be considered valid, the executive representative of the firm eligible to vote in the election must sign it. Firms that are members of FINRA as of the close of business on Monday, October 15, 2018, are eligible to vote for the seats on the Regional Committee corresponding to the district in which their firm is headquartered.

Ballots are due by Thursday, November 15, 2018.

The candidates running for election are listed in Attachment A to this Notice. Information about each candidate is available at

Note: This Notice was distributed electronically to the executive representative of each FINRA member firm and is posted on FINRA’s website at

Questions regarding this Election Notice may be directed to:

  • Jennifer Piorko Mitchell, Vice President and Deputy Corporate Secretary, at (202) 728-8949; or
  • Chip Jones, Senior Vice President, Member Relations and Education, at (240) 386-4797.