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Election Notice – 10/20/17

Notice of FINRA District Committee Elections and Ballots

Published Date:

The District 1 Small Firm seat is no longer contested. Ballots will not be distributed.

Ballots Due: November 20, 2017

Executive Summary

The purpose of this Election Notice is to inform firms of the upcoming elections to: (1) fill vacancies on the FINRA District Committees, and (2) distribute ballots to the firms eligible to vote in this election. Firms that are members of FINRA as of the close of business on Thursday, October 19, 2017, 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. 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 Monday, November 20, 2017.

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

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