Annual FINRA Election Cycle and Procedures Overview

The purpose of this Notice is to provide firms with a summary of FINRA’s 2016 election cycle to fill vacancies on the FINRA District Committees, Small Firm Advisory Board (SFAB), National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides an overview of all of the FINRA elections that will take place in 2016, a description of responsibilities of the Board, NAC, District Committees and SFAB, and a summary of how eligible individuals can be included as candidates in each election. FINRA’s goal in issuing this Notice is to encourage broad participation of member firm representatives in FINRA elections.

Questions concerning this Election Notice may be directed to:

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