FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council

Election Notice 8/1/14

FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council

Petitions for Candidacy Due: September 15, 2014

Executive Summary

The purpose of this Election Notice is to announce the nomination process to fill 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 Elaine H. Mandelbaum for the Large Firm NAC seat, and it declined to nominate any individuals for the Small Firm NAC seat.

Eligible individuals who were not nominated may petition to have their name included on a ballot for 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 website at www.finra.org/notices/election/080114. 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
• Jennifer Piorko Mitchell, Deputy Corporate Secretary, at (202) 728-8949.