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Election Notice – 10/19/16

Notice of FINRA District Committee Elections and Ballots

Ballots Due: November 18, 2016

Executive Summary

The purpose of this Notice is to inform firms of the upcoming elections to fill vacancies on the FINRA District Committees and distribute ballots to the firms eligible to vote in these elections. Firms that are members of FINRA as of the close of business on Tuesday, October 18, 2016, are eligible to vote for the seat corresponding to their district and firm size.

Firms are urged to vote in this election using one of the methods described in this Notice. In order for a ballot to be considered valid, the executive representative of the firm eligible to vote in the election must sign it. Ballots are due by Friday, November 18, 2016.

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

The elected committee members will take office in January 2017.

A list of the current District Committee members 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.

Questions concerning this Election Notice may be directed to:

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