Notice of FINRA Regional Committee Elections and Mailing of Ballots

Election Notice - 10/18/2024

Published Date:

Voting Deadline: November 18, 2024

Executive Summary The purpose of this Election Notice is to notify firms of the elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms. As detailed below, the following seats are contested: Midwest Region Committee, Districts 4 and 8 New York Region Committee, District 10 North Region Committee, District 11 South Region Committee, Districts 5 and 7 West Region Committee, District 1 Firms that were FINRA members in the districts listed above as of the close of business on Thursday, October 17, 2024, are eligible to vote for the contested seats, and these will be the only firms receiving ballots. (Ballots will not be distributed for the uncontested elections where the candidates are running unopposed or for which no candidates self-nominated.) Voting concludes on Monday, November 18, 2024. Questions concerning this Election Notice may be directed to: Jennifer Piorko Mitchell, Vice President and Deputy Corporate Secretary, via email or (202) 728-8949; or Kayte Toczylowski, Vice President, Member Relations and Education, via email or (215) 209-7087. Voting Information The executive representative 1 of each eligible firm is able to vote by telephone, internet or U.S. mail. Voting instructions are included in the email sent on October 18, 2024, from finraagent@proxy-agent.com and on the ballots being mailed to eligible firms. Voting concludes on Monday, November 18, 2024. Terms of Regional Committee Members The successful candidates—the individuals who self-nominated for the uncontested seats and the individuals appointed to fill seats with no self-nominated candidates—will serve three-year terms starting on January 1, 2025, and expiring December 31, 2027. There is no limit on the number of terms a Regional Committee member may serve, except that Regional Committee members may not serve more than two full terms consecutively. Terms of Regional Committee members will terminate if they do not remain eligible for the seat for which they were elected. Regional Committee Candidates Election Notice 9/3/2024 previously announced the upcoming vacancies on the Regional Committees and the process by which interested individuals could seek to become candidates. FINRA’s Regional Committees serve an important role in the self-regulatory process by, among other things, alerting FINRA to industry trends that could present regulatory concerns, consulting with FINRA on proposed policies and rule changes, and possibly serving on disciplinary panels. The Regional Committees are organized into the following regions: Midwest (Districts 4 and 8); New York (District 10); North (Districts 9 and 11); South (Districts 5, 6 and 7); and West (Districts 1, 2 and 3). All individuals who submitted their names and met the qualifications 2 were certified as a candidate for their district’s election. Below is a list of the candidates and which regions/districts are contested or uncontested. CANDIDATES FOR CONTESTED SEATS CANDIDATES FOR UNCONTESTED SEATS For the seats listed below, there were either sufficient candidates to fill the vacancies or fewer candidates than seats available. Therefore, ballots will not be mailed for the following uncontested seats. For individuals interested in the vacancies identified below, please contact the Office of the Corporate Secretary to be considered for the openings. North Region Committee: District 9 Representatives - Candidates for Two Vacancies Michael P. Doherty, Chief Compliance Officer, Susquehanna Securities, LLC Steven Trigili, Chief Compliance Officer, Garden State Securities, Inc.

South Region Committee: District 6 Representatives - Candidate (Two Vacancies – FINRA to identify nominee for unfilled vacancy) Trisha Hancock, Chief Compliance Officer, Invesco Distributors, Inc.

(Current committee member; term expires 12/31/2024)

West Region Committee: District 2 Representatives - Candidate (Two Vacancies – FINRA to identify nominee for unfilled vacancy) Ken Muraoka, Sr. Managing Director and Head of Compliance Shared Services, Cetera Advisor Networks LLC

(Current committee member; term expires 12/31/2024)

West Region Committee: District 3 Representatives - Candidate (Two Vacancies – FINRA to identify nominee for unfilled vacancy) MacGregor B. Maitland, Chief Risk Officer, Steward Partners Investment Solutions, LLC

Endnotes 1 Pursuant to FINRA Rule 4517, firms must update their contact information promptly, but in any event not later than 30 days following any change in such information, as well as review and, if necessary, update the information within 17 business days after the end of each calendar year. To update an executive representative’s name, mailing address and email address, firms may access the FINRA Contact System, via FINRA Gateway. Additionally, firms must comply with any FINRA request for such information promptly, but in any event not later than 15 days following the request, or such longer period that may be agreed to by FINRA staff. See FINRA Rule 4517. 2 See FINRA Regulation By-Laws, Article VIII, Section 8.2.