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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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FINRA 2011 Elections: NAC Member Seats
October 20, 2011
FINRA notified its small and large firm members that it's time to elect a representative to the National Adjudicatory Council ("NAC"). There is a single candidate for the vacant Large Firm NAC Member seat. There's a contested election for the open Small Firm seat. Voting ballots were distributed to all eligible FINRA small and large firm members and must be returned by 11/18/11.
Candidates for NAC Member Seats.
- For the Small Firm Seat:
- David Sobel, EVP and CCO, Abel/Noser Corp.;
- Karen Fischer, FinOp and Compliance Principal, Hunter Scott Financial, LLC.
- For the Large Firm Seat:
- Jill Ostergaard, MD and CCO, Morgan Stanley & Co., Incorporated.
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