Regulatory Alerts2023-09-25 | Election Notice - 9/25/2023Added · Updated
FINRA Election Notice for National Adjudicatory Council Vacancies
FINRA announces an election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council, with nominees MaryBeth Findlay, Scott Kursman, and Kim Chapman. Un-nominated candidates may petition for the ballot by November 9, 2023, requiring signatures from 3 percent of eligible voters, which translates to 5 petitions for large firm seats and 6 for mid-size firm seats. If contested, FINRA will distribute voting instructions to executive representatives of eligible member firms around November 15, 2023, for four-year terms beginning in January 2024.
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