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Election Notice – 10/20/17

Notice of Election and Ballots for FINRA Small Firm NAC Member Seat

Published Date:
Ballots Due: November 20, 2017

Executive Summary

The purpose of this Election Notice is to: (1) notify small firms of a contested election for the open National Adjudicatory Council (NAC) Small Firm seat, and (2) distribute voting ballots to eligible FINRA small firm members. The open Large Firm NAC Member seat is not contested. Therefore, FINRA is not distributing ballots for the open Large Firm seat.

To be considered valid, a ballot must be signed by the executive representative of the small firm eligible to vote in the election. Small firms that are members of FINRA as of the close of business on October 19, 2017, will be eligible to vote.

Ballots must be returned no later than November 20, 2017.

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, Executive Vice President, Board and External Relations, at (202) 728-8949; or
  • Jennifer Piorko Mitchell, Vice President, Corporate Governance, at (202) 728-8949.