Regulatory Alerts2023-08-07 | Election Notice - 8/7/2023Added · Updated
FINRA Notice of Annual Meeting of Firms and Election Proxy
FINRA will conduct its Annual Meeting of firms on September 6, 2023, to elect one small firm governor and one large firm governor to the Board of Governors. Eligible voting firms are those registered as members as of August 4, 2023, with small firms defined as employing 1-150 registered persons and large firms employing at least 500. Candidates include Scott A. Curtis for the large firm seat and Wendy Lanton for the small firm seat, with terms beginning immediately following the meeting. Proxies must be signed by the executive representative and submitted via telephone, mail, internet, or in-person attendance to satisfy quorum requirements.
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