Election Notice - 8/5/11

FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council

Published Date:

The purpose of this Election Notice is to announce FINRA’s nominees for two vacancies on the National Adjudicatory Council (NAC) to be filled by one Large Firm NAC Member and one Small Firm NAC Member.

FINRA’s Nominating and Governance Committee nominated the following individuals: Jill W. Ostergaard for the Large Firm NAC seat and David M. Sobel for the Small Firm NAC seat.

Eligible individuals who were not nominated may petition to have their name included on a ballot for a contested election by following the procedure below.

Note: This Notice was distributed electronically to the executive representative of each FINRA member firm and it is posted on FINRA’s Web site at www.finra.org/Notices/Election/080511. Executive representatives should circulate this Notice to their firms’ branch managers.

Questions regarding this Election Notice may be directed to:

  • Marcia E. Asquith, Senior Vice President and Corporate Secretary, at (202) 728-8949; or
  • Marc Menchel, Executive Vice President and Regulatory General Counsel, at (202) 728-8410.