Regulatory Alerts2023-11-15 | Election Notice – 11/15/2023Added · Updated
Notice of Election and Ballots for FINRA Mid-Size Firm NAC Member Seat
FINRA announces a contested election for one mid-size firm seat on the National Adjudicatory Council, with voting concluding on December 15, 2023. Eligible voters are FINRA mid-size firm members as of November 14, 2023, who may cast ballots for nominees Kim Chapman and Gregor Maitland. Two large firm NAC seats remain uncontested, with nominees MaryBeth Findlay and Scott Kursman scheduled for Board appointment to four-year terms starting in January 2024.
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