Election Notice – 10/29/18

Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council

Published Date:
Petitions for Candidacy Due: Thursday, December 13, 2018

Executive Summary

The purpose of this Election Notice is to notify members that FINRA will conduct a special election to fill a Small Firm seat on the National Adjudicatory Council (NAC).

FINRA’s Nominating & Governance Committee (Nominating Committee) determined it would not nominate a candidate for this special election. Instead, any eligible individual who obtains the requisite number of valid petitions may be included as a candidate on the ballot by following the petition procedures set forth in FINRA Regulation’s By-Laws and as further described in this Notice. The individual elected will serve until December 31, 2020.

A formal Notice of the Special NAC Election and ballot will be mailed to the executive representatives of all eligible FINRA member small firms on or about Friday, December 21, 2018. The elected individual will complete a term scheduled to conclude on December 31, 2020.

Note: This Notice was distributed electronically to the executive representative of each FINRA member firm and it is posted on FINRA’s website at www.finra.org/notices/election/NAC/102918. Executive representatives should circulate this Notice to their firms’ branch managers.

Questions regarding this Election Notice may be directed to: