NASD Announces Election Results for District Committees and District Nominating Committees

INFORMATIONAL

District Elections

Executive Summary

Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until January 2007.¹

District 10 (New York) had an additional candidate come forward for consideration for that District Committee. Ballots were submitted and counted on January 9, 2004. The originally proposed slate of candidates for District 10 (New York) received the largest number of votes and is declared elected.

The members of the incoming District Committees and the District Nominating Committees are identified in Attachment A.

Questions/Further Information

Questions concerning this Notice may be directed to the District Director noted or to Barbara Z. Sweeney, Senior Vice President and Corporate Secretary, NASD, at (202) 728-8062, or via e-mail at [email protected].

¹ Some newly elected District Committee members are filling existing vacancies and, therefore, will serve less than a three-year term, as indicated in Attachment A.

Attachment A

District Committee and District Nominating Committee 2004 Incoming Members

District 1

Elisabeth P. Owens, District Director

525 Market Street, Suite 300, San Francisco, CA 94105-2711 (415) 882-1200

Northern California (the counties of Monterey, San Benito, Fresno, and Inyo, and the remainder of the state north or west of such counties), northern Nevada (the counties of Esmeralda and Nye, and the remainder of the state north or west of such counties), and Hawaii

District Committee and District Nominating Committee 2004 Incoming Members

District 2

Lani M. Sen Woltmann, District Director

300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071 (213) 627-2122

Southern California (that part of the state south or east of the counties of Monterey, San Benito, Fresno, and Inyo), southern Nevada (that part of the state south or east of the counties of Esmeralda and Nye), and the former U.S. Trust Territories

District Committee and District Nominating Committee 2004 Incoming Members

District 3

District Committee and District Nominating Committee 2004 Incoming Members

District 4

Thomas D. Clough, District Director

120 West 12th Street, Suite 900, Kansas City, MO 64105 (816) 421-5700

Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota

District Committee and District Nominating Committee 2004 Incoming Members

District 5

Warren A. Butler, Jr., District Director

1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-0802 (504) 522-6527

Alabama, Arkansas, Louisiana, Mississippi, Oklahoma, and Tennessee

District Committee and District Nominating Committee 2004 Incoming Members

District 6

Virginia F.M. Jans, District Director

12801 N. Central Expressway, Suite 1050, Dallas, TX 75243 (972) 701-8554

Texas

District Committee and District Nominating Committee 2004 Incoming Members

District 7

Alan M. Wolper, District Director

One Securities Centre, Suite 500, 3490 Piedmont Road, NE, Atlanta, GA 30305 (404) 239-6100

Florida, Georgia, North Carolina, South Carolina, Puerto Rico, the Canal Zone, and the Virgin Islands

District Committee and District Nominating Committee 2004 Incoming Members

District 8

District Committee and District Nominating Committee 2004 Incoming Members

District 9

District Committee and District Nominating Committee 2004 Incoming Members

District 10

Robert B. Kaplan, Acting District Director

One Liberty Plaza, 49th Floor, New York, NY 10006 (212) 858-4000

New York (the counties of Nassau and Suffolk, and the five boroughs of New York City)

District Committee and District Nominating Committee 2004 Incoming Members

District 11

Frederick F. McDonald, District Director

260 Franklin Street, 16th Floor, Boston, MA 02110 (617) 261-0800

Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont