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00-34 NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections

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INFORMATIONAL

District Elections

SUGGESTED ROUTING

KEY TOPICS

Legal & Compliance
Operations
Registration
Senior Management

District Elections



Executive Summary

The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating Committees.

Information on District Committee and District Nominating Committee members serving through 2001, 2002, and 2003 is included in Attachment A. Information on District Election Procedures is included in Attachment B. A candidate profile sheet is included in Attachment C.

Nomination Process

Individuals from member firms of all sizes and segments of the industry are encouraged to submit names for consideration for membership on the 11 District Committees and District Nominating Committees. Members are requested to submit candidates' names to the appropriate District Nominating Committee Chairman or to the District Director by submitting a cover letter and the candidate profile sheet (Attachment C) and returning it by July 3, 2000.

The completed form will be provided to all District Nominating Committee members for review. It is anticipated that the District Nominating Committees will certify their nominees to the District Committees on or about September 1, 2000.

Members are reminded to report Executive Representative information and address changes for the firm's main and branch offices. This will ensure that member mailings, such as election information, will be properly directed. Failure to keep this information accurate may jeopardize the member's ability to participate in District elections as well as other member votes. To update this information, firms should access their National Association of Securities Dealers, Inc. (NASD®) Member Firm Contact Questionnaire (NMFCQ) located on the NASD RegulationSM Web Site (www.nasdr.com) using the existing NMFCQ Executive Representative or Designated Assistant User ID and Password provided; or, if you prefer, you may contact CRD/PD Gateway at (301) 590-6500.

Questions/Further Information

Questions concerning this Special Notice may be directed to the District Director noted or to Joan Conley, Senior Vice President and Corporate Secretary, NASD, at (202) 728-8381 or via e-mail at: joan.conley@nasd.com.


Attachment A

District Committee And District Nominating Committee Members

District 1
Elisabeth P. Owens, District Director
525 Market Street, Suite 300
San Francisco, CA 94105
(415) 882-1200

District 1 Committee
Members to be elected to terms expiring January 2004: 3
Chair: Janet W. Campbell
Committee Members
To Serve Until January 2001
Steven R. Aaron Hambrecht & Quist LLC, San Francisco, CA
Janet W. Campbell Protected Investors of America, Walnut Creek, CA
Douglas C. Heske U.S. Bancorp Piper Jaffray, Inc., San Francisco, CA
To Serve Until January 2002
John H. Chung First Security VanKasper, San Francisco, CA
Steven D. Piper Epoch Securities, Inc., San Francisco, CA
To Serve Until January 2003
Sally G. Aelion Emmett A. Larkin Co., Inc., San Francisco, CA
David A. Baylor Thomas Weisel Partners LLC, San Francisco, CA
Henry W. Carter E*Trade Securities, Inc., Menlo Park, CA
District 1 Nominating Committee
Members to be elected to terms expiring January 2002: 5
Chair: John E. Schmidt
Committee Members
Nicholas C. Cochran American Investors Company, Dublin, CA
Deborah R. Gatzek Franklin Templeton Distributors, San Mateo, CA
John F. Luikart Sutro & Co Incorporated, San Francisco, CA
John E. Schmidt Credit Suisse First Boston, San Francisco, CA
William A. Svoboda Morgan Stanley Dean Witter Reynolds, San Jose, CA
If you are interested in nominating yourself or a colleague to the District 1 Committee or the District 1 Nominating Committee, please complete the candidate profile sheet (Attachment C) and return it to the District Nominating Committee Chairman or the District Director at the above District Office address by July 3, 2000.

District Committee And District Nominating Committee Members

District 2
Lani M. Sen Woltmann, District Director
300 South Grand Avenue, Suite 1600
Los Angeles, CA 90071
(213) 627-2122

District 2 Committee
Members to be elected to terms expiring January 2004: 4
Chair: James B. Guillou, Sr.
Committee Members
To Serve Until January 2001
James B. Guillou, Sr. Sutro & Co., Incorporated, La Jolla, CA
Andrew E. Haas Bear Stearns & Co., Inc., Los Angeles, CA
Richard E. Wiseley CIBC Oppenheimer & Co., Inc., Los Angeles, CA
Richard P. Woltman Spelman & Co., Inc., San Diego, CA
To Serve Until January 2002
Margaret M. Black Morgan Stanley Dean Witter, Beverly Hills, CA
Diane P. Blakeslee Blakeslee and Blakeslee, Inc., San Luis Obispo, CA
Jack R. Handy, Jr. Financial Network Investment Corporation, Torrance, CA
Dean A. Holmes American General Financial Group, Anaheim, CA
To Serve Until January 2003
Kellen M. Flanigan Dabney Flanigan, LLC, Los Angeles, CA
William H. Howard, Jr. Hagerty, Stewart & Associates, Irvine, CA
James R. Kruger Dreyfus Brokerage Services, Inc., Beverly Hills, CA
District 2 Nominating Committee
Members to be elected to terms expiring January 2002: 5
Chair: Robert L. Winston
Committee Members
Jerry M. Gluck Jefferies and Company, Inc., Los Angeles, CA
Carl E. Lindros Santa Barbara Securities, Inc., Santa Barbara, CA
Joan B. Seidel Morton Seidel & Company, Inc., Beverly Hills, CA
Robert L. Winston American Funds Distributors, Inc., Los Angeles, CA
Kaye M. Woltman Girard Securities, Inc., San Diego, CA
If you are interested in nominating yourself or a colleague to the District 2 Committee or the District 2 Nominating Committee, please complete the candidate profile sheet (Attachment C) and return it to the District Nominating Committee Chairman or the District Director at the above District Office address by July 3, 2000.

District Committee And District Nominating Committee Members

District 3

Frank J. Birgfeld, District Director James G. Dawson, District Director
Republic Plaza Building Two Union Square
370 17th Street, Suite 2900 601 Union Street, Suite 1616
Denver, CO 80202-5629 Seattle, WA 98101-2327
(303) 446-3100 (206) 624-0790

District 3 Committee
Members to be elected to terms expiring January 2004: 4
Chair: Thomas R. Hislop
Committee Members
To Serve Until January 2001
Thomas R. Hislop Peacock, Hislop, Staley & Given, Inc., Phoenix, AZ
Gerald Meyer D. A. Davidson & Co., Great Falls, MT
John Morton Morton Clarke Fu & Metcalf, Inc., Seattle, WA
Terry Lee Richards PaineWebber, Inc., Salt Lake City, UT
To Serve Until January 2002
James Barnyak Salomon Smith Barney Inc., Seattle, WA
David Griswold Frank Russell Securities, Inc., Tacoma, WA
James E. Stark Charles Schwab & Co., Phoenix, AZ
To Serve Until January 2003
J. Pamela Dawson WM Financial Services, Inc., Seattle, WA
Steven M. Fishbein American Fronteer Financial Corporation, Denver, CO
John K. Hinfey United Planners' Financial Services Of America, LP, Scottsdale, AZ
Bruce Kramer Prudential Securities Incorporated, Seattle, WA
District 3 Nominating Committee
Members to be elected to terms expiring January 2002: 5
Chair: Anthony Petrelli
Committee Members
J. Wendell Garrett J. W. Garrett and Company, Phoenix, AZ
James Kerr Ragen Mackenzie Incorporated, Seattle, WA
Stephen Larson Richards, Merrill & Peterson, Inc., Spokane, WA
Anthony Petrelli Neidiger, Tucker, Bruner, Inc., Denver, CO
Douglas Strand Strand, Atkinson, Williams & York, Inc., Portland, OR
If you are interested in nominating yourself or a colleague to the District 3 Committee or the District 3 Nominating Committee, please complete the candidate profile sheet (Attachment C) and return it to the District Nominating Committee Chairman or the District Director at the above District Office address by July 3, 2000.

District Committee And District Nominating Committee Members

District 4
Thomas D. Clough, District Director
120 W. 12th Street, Suite 900
Kansas City, MO 64105
(816) 421-5700

District 4 Committee
Members to be elected to terms expiring January 2004: 4
Chair: Brent M. Weisenborn
Committee Members
To Serve Until January 2001
Antonio J. Cecin U.S. Bancorp Piper Jaffray, Inc., Minneapolis, MN
Cheryl Cook-Schneider Edward Jones, St. Louis, MO
Brent M. Weisenborn Security Investment Company of Kansas City, Kansas City, MO
Vacancy
To Serve Until January 2002
Robert M. Chambers Robert W. Baird & Co. Incorporated, Des Moines, IA
John R. Lepley Princor Financial Services Corporation, Des Moines, IA
William M. Lyons American Century Investment Services, Inc., Kansas City, MO
To Serve Until January 2003
E. John Moloney Moloney Securities Co., Inc., St. Louis, MO
Rodger O. Riney Scottsdale Securities, Inc., St. Louis, MO
Jeffrey A. Schuh Marquette Financial Group, Inc., Minneapolis, MN
Gail Werner-Robertson GWR Investments, Inc., Omaha, NE
District 4 Nominating Committee
Members to be elected to terms expiring January 2002: 5
Chair: Todd W. Miller
Committee Members
John D. Cleland Security Distributors, Inc., Topeka, KS
Colleen Curran American Express Financial Advisors Inc., Minneapolis, MN
Albert W. Lauth First St. Louis Securities, Inc., St. Louis, MO
Todd W. Miller Miller, Johnson & Kuehn, Incorporated, Minneapolis, MN
Wayne H. Peterson Washington Square Securities, Inc., Minneapolis, MN
If you are interested in nominating yourself or a colleague to the District 4 Committee or the District 4 Nominating Committee, please complete the candidate profile sheet (Attachment C) and return it to the District Nominating Committee Chairman or the District Director at the above District Office address by July 3, 2000.

District Committee And District Nominating Committee Members

District 5
Warren A. Butler, Jr., District Director
1100 Poydras Street
Energy Centre, Suite 850
New Orleans, LA 70163-0802
(504) 522-6527

District 5 Committee
Members to be elected to terms expiring January 2004: 4
Chair: James S. Jones
Committee Members
To Serve Until January 2001
Benjamin D. Capshaw, III Morgan Stanley Dean Witter, New Orleans, LA
James S. Jones Crews & Associates, Inc., Little Rock, AR
Dene R. Shipp SunTrust Equitable Securities, Nashville, TN
John C. West First Union Securities, Inc., Memphis, TN
To Serve Until January 2002
James D. Hudgins SouthTrust Securities, Inc., Birmingham, AL
LeRoy H. Paris, II Invest Linc Securities, Inc., Jackson, MS
Duncan F. Williams Duncan-Williams, Inc., Memphis, TN
To Serve Until January 2003
David A. Daugherty James Baker & Associates, A Limited Partnership, Oklahoma City, OK
James M. Rogers J.J.B. Hilliard, W.L. Lyons, Inc., Louisville, KY
W. Lucas Simons J. C. Bradford & Co., Nashville, TN
District 5 Nominating Committee
Members to be elected to terms expiring January 2002: 5
Chair: Jerry Roberts
Committee Members
J. French Hill Delta Trust Investments, Inc., Little Rock, AR
David S. Patrick First Union Securities, Inc., Montgomery, AL
William T. Patterson Morgan Keegan & Company, Inc., Jackson, MS
Jerry Roberts Sterne, Agee & Leach, Inc., Little Rock, AR
Miguel Uria Oro Financial, Inc., New Orleans, LA
If you are interested in nominating yourself or a colleague to the District 5 Committee or the District 5 Nominating Committee, please complete the candidate profile sheet (Attachment C) and return it to the District Nominating Committee Chairman or the District Director at the above District Office address by July 3, 2000.

District Committee And District Nominating Committee Members

District 6
Bernerd Young, District Director
12801 N. Central Expressway, Suite 1050
Dallas, TX 75243
(972) 701-8554

District 6 Committee
Members to be elected to terms expiring January 2004: 3
Chair: Daniel C. Dooley
Committee Members
To Serve Until January 2001
Daniel C. Dooley Maplewood Investment Advisors, Inc., Dallas, TX
Ronald J. Gard Salomon Smith Barney, Inc., Dallas, TX
Jim G. Rhodes Rhodes Securities, Inc., Ft. Worth, TX
To Serve Until January 2002
Frederick W. McGinnis PaineWebber Inc., Houston, TX
Sue H. Peden SWS Financial Services, Inc., Dallas, TX
Joseph H. Storthz Transamerica Financial Resources, Houston, TX
To Serve Until January 2003
G. Clyde Buck Sanders Morris Harris, Inc., Houston, TX
Bryan T. Forman First Financial Investment Securities, Inc., Austin, TX
Richard L. Sandow Southlake Capital, L.L.C., Southlake, TX
District 6 Nominating Committee
Members to be elected to terms expiring January 2002: 5
Chair: William B. Madden
Committee Members
Jane E. Bates The Variable Annuity Marketing Co., Houston, TX
William D. Connally Greenman Parker Connally Greenman, Inc., Ft. Worth, TX
Robert G. Gunn III Gunn and Company, Inc., San Antonio, TX
Paul L. Larkin Vista Securities, Inc., Dallas, TX
William B. Madden Madden Securities Corporation, Dallas, TX
If you are interested in nominating yourself or a colleague to the District 6 Committee or the District 6 Nominating Committee, please complete the candidate profile sheet (Attachment C) and return it to the District Nominating Committee Chairman or the District Director at the above District Office address by July 3, 2000.

District Committee And District Nominating Committee Members

District 7
Alan M. Wolper, District Director
One Securities Centre, Suite 500
3490 Piedmont Road, NE
Atlanta, GA 30305
(404) 239-6100

District 7 Committee
Members to be elected to terms expiring January 2004: 4
Chair: M. Anthony Greene
Committee Members
To Serve Until January 2001
Robert M. Balentine Balentine & Company, Atlanta, GA
James J. Buddle Capital Brokerage Corporation, Richmond, VA
M. Anthony Greene Raymond James Financial Services, Inc., Atlanta, GA
J. Lee Keiger, III Davenport & Company, LLC, Richmond, VA
Raymond W. Snow Deutsch Banc Alex. Brown, Palm Beach, FL
To Serve Until January 2002
James W. Hamilton, Jr. Morgan Keegan & Co., Atlanta, GA
Edward R. Hipp, III Centura Securities, Inc., Rocky Mount, NC
Roark A. Young Young, Stovall and Company, Miami, FL
To Serve Until January 2003
Michael D. Hearn, Esq. Wachovia Securities, Inc., Charlotte, NC
Collie W. Lehn A. G. Edwards & Sons, Inc., Laurens, SC
Charles E. Scarlett, Esq. J. W. Genesis Securities, Inc., Boca Raton, FL
John W. Waechter William R. Hough & Co., St. Petersburg, FL
District 7 Nominating Committee
Members to be elected to terms expiring January 2002: 5
Chair: Franklin C. Golden
Committee Members
Robert J. Brietz Marion Bass Securities Corp., Charlotte, NC
Franklin C. Golden James M. Myers & Co., Charlotte, NC
Stuart J. Knobel Edgar M. Norris & Co., Inc., Anderson, SC
David G. Pittinos Dean Witter Reynolds, Inc., Tallahassee, FL
R. Charles Shufeldt SunTrust Banks, Atlanta, GA
If you are interested in nominating yourself or a colleague to the District 7 Committee or the District 7 Nominating Committee, please complete the candidate profile sheet (Attachment C) and return it to the District Nominating Committee Chairman or the District Director at the above District Office address by July 3, 2000.

District Committee And District Nominating Committee Members

District 8

Carlotta A. Romano, District Director
10 South LaSalle, 20th Floor
Chicago, IL 60603-1002
(312) 899-4400
William H. Jackson, Jr., District Director
Renaissance on Playhouse Square
1350 Euclid Avenue, Suite 650
Cleveland, OH 44115
(216) 694-4545

District 8 Committee
Members to be elected to terms expiring January 2004: 4
Chair: Alan H. Newman
Committee Members
To Serve Until January 2001
William C. Alsover Centennial Securities Company, Inc., Grand Rapids, MI
Wallen L. Crane Salomon Smith Barney, Inc., Ann Arbor, MI
Alan H. Newman J.J.B. Hilliard, W.L. Lyons, Inc., Evansville, IN
Bruce J. Young Mesirow Financial, Inc., Chicago, IL
To Serve Until January 2002
R. Jack Conley VESTAX Securities Corporation, Hudson, OH
Mary D. Esser Cressman Esser Securities, Inc., Naperville, IL
Glen Hackmann Robert W. Baird & Co., Inc., Milwaukee, WI
Robert A. Perrier Butler, Wick & Co., Inc., Cleveland, OH
Kathleen A. Wieland William Blair & Company, LLC, Chicago, IL
To Serve Until January 2003
Carol Podesta Foley Podesta & Company, Chicago, IL
Renee M. Rombaut Sage, Rutty & Co., Inc., Rochester, NY
District 8 Nominating Committee
Members to be elected to terms expiring January 2002: 5
Chair: Paul E. Murin
Committee Members
Leonard L. Anderson Stifel, Nicolaus & Company, Incorporated, Grand Haven, MI
Robert T. Clutterbuck McDonald Investments Inc., Cleveland, OH
Paul E. Murin David A. Noyes & Company, Chicago, IL
William H. Richardson Trubee, Collins & Co., Inc., Buffalo, NY
G. Donald Steel Planned Investment Co., Inc., Indianapolis, IN
If you are interested in nominating yourself or a colleague to the District 8 Committee or the District 8 Nominating Committee, please complete the candidate profile sheet (Attachment C) and return it to the District Nominating Committee Chairman or the District Director at the above District Office address by July 3, 2000.

District Committee And District Nominating Committee Members

District 9

John P. Nocella, District Director
11 Penn Center
1835 Market Street, Suite 1900
Philadelphia, PA 19103
(215) 665-1180
Gary K. Liebowitz, District Director
581 Main Street, 7th floor
Woodbridge, NJ 07095
(732) 596-2000

District 9 Committee
Members to be elected to terms expiring January 2004: 4
Chair: A. Louis Denton
Committee Members
To Serve Until January 2001
Victor M. Frye Calvert Distributors, Inc., Bethesda, MD
Jerome J. Murphy Janney Montgomery Scott Inc., Philadelphia, PA
Vacancy  
Vacancy  
To Serve Until January 2002
A. Louis Denton Philadelphia Corporation for Investment Services, Philadelphia, PA
Thomas W. Neumann Sherwood Securities Corp., Jersey City, NJ
Joseph S. Rizzello Vanguard Marketing Corporation, Valley Forge, PA
Gregory R. Zappala RRZ Public Markets, Inc., Cranberry Township, PA
To Serve Until January 2003
James D. Lamke Spear, Leeds & Kellogg Capital Markets, Inc., Jersey City, NJ
John P. Meegan Parker/Hunter Incorporated, Pittsburgh, PA
Lance A. Reihl 1717 Capital Management Co., Newark, DE
Lenda P. Washington GRW Capital Corporation, Washington, DC
District 9 Nominating Committee
Members to be elected to terms expiring January 2002: 5
Chair: Mark W. Cresap
Committee Members
Mark W. Cresap Cresap, Inc., Radnor, PA
Allen S. Jacobson Gibraltar Securities Co., Florham Park, NJ
James J. Malespina Herzog, Heine, Geduld, Inc., Jersey City, NJ
William F. Rienhoff IV Donaldson, Lufkin & Jenrette Securities Corporation, Baltimore, MD
Robert A. Woeber Arthurs, Lestrange & Company, Incorporated, Pittsburgh, PA
If you are interested in nominating yourself or a colleague to the District 9 Committee or the District 9 Nominating Committee, please complete the candidate profile sheet (Attachment C) and return it to the District Nominating Committee Chairman or the District Director at the above District Office address by July 3, 2000.

District Committee And District Nominating Committee Members

District 10
David A. Leibowitz, District Director
NASD Financial Center
33 Whitehall Street
New York, NY 10004
(212) 858-4000

District 10 Committee
Members to be elected to terms expiring January 2004: 5
Chair: Mark D. Madoff
Committee Members
To Serve Until January 2001
Arthur S. Ainsberg Brahman Securities Inc., New York, NY
William P. Behrens Investec Ernst & Co., New York, NY
Laurence H. Bertan Sanford C. Bernstein & Co. Inc., New York, NY
Mark D. Madoff Bernard L. Madoff Investment Securities, New York, NY
Stuart L. Sindell Datek On-Line Brokerage Services Corp., New York, NY
To Serve Until January 2002
John Iachello ING Baring Furman Selz, New York, NY
Philip V. Oppenheimer Oppenheimer & Close Inc., New York, NY
Gary Salamone Schroder & Co. Inc., New York, NY
Eugene A. Schlanger Nomura Securities International Inc., New York, NY
Tom M. Wirtshafter Nathan & Lewis Securities Inc., New York, NY
To Serve Until January 2003
Kevin J. Browne Banc of America Securities, New York, NY
Judith R. MacDonald Rothschild, Inc., New York, NY
Stephen C. Strombelline Barclays Capital Inc., New York, NY
District 10 Nominating Committee
Members to be elected to terms expiring January 2002: 5
Chair: Joan S. Green
Committee Members
Ralph J. Costanza Salomon Smith Barney Inc., New York, NY
Frank F. DiGregorio Credit Suisse First Boston Corporation, New York, NY
Joan S. Green BT Brokerage Corporation, New York, NY
Vicki Z. Holleman Loeb Partners Corporation, New York, NY
Harold Ognelodh U.S. Bancorp Investment Inc., New York, NY
If you are interested in nominating yourself or a colleague to the District 10 Committee or the District 10 Nominating Committee, please complete the candidate profile sheet (Attachment C) and return it to the District Nominating Committee Chairman or the District Director at the above District Office address by July 3, 2000.

District Committee And District Nominating Committee Members

District 11
Fred McDonald, District Director
260 Franklin Street, 16th Floor
Boston, MA 02110
(617) 261-0800

District 11 Committee
Members to be elected to terms expiring January 2004: 4
Chair: Frank V. Knox, Jr.
Committee Members
To Serve Until January 2001
Michael J. Dell'Olio Investment Management and Research, Inc., South Portland, ME
Frank V. Knox, Jr. Fidelity Distributors Corporation, Boston, MA
Laurie Lennox SunLife of Canada (U.S.) Distributors, Inc., Boston, MA
Kenneth Unger Boston Capital Services, Inc., Boston, MA
To Serve Until January 2002
Stephen O. Buff Fleetboston Robertson Stephens Inc., Boston, MA
Dennis R. Surprenant Cantella & Co., Inc., Boston, MA
To Serve Until January 2003
Elena Dasaro H.C. Wainwright & Co., Inc., Boston, MA
John D. Lane Westport Resources Investment Services, Inc., Westport, CT
Deborah G. Ullman American Skandia Marketing, Inc., Shelton, CT
Peter T. Wheeler Commonwealth Financial Network, Waltham, MA
District 11 Nominating Committee
Members to be elected to terms expiring January 2002: 5
Chair: Edward L. Sherr
Committee Members
Harry H. Branning Advest, Inc., Hartford, CT
Stephanie Brown Linsco/Private Ledger Corp., Boston, MA
Francis W. Murphy Moors & Cabot, Boston, MA
Wilson G. Saville Barrett & Company, Providence, RI
Edward L. Sherr Carl P. Sherr & Company, Worcester, MA
If you are interested in nominating yourself or a colleague to the District 11 Committee or the District 11 Nominating Committee, please complete the candidate profile sheet (Attachment C) and return it to the District Nominating Committee Chairman or the District Director at the above District Office address by July 3, 2000.


Attachment B

2000 District Election Procedures For District Committees And District Nominating Committees

Regular Election

1. Each NASD Regulation District shall maintain a District Nominating Committee in the manner specified in Article VIII of the By-Laws of NASD Regulation, Inc.
2. The Secretary of NASD Regulation, Inc. ("the Corporation") will notify in writing the Chairman of each District Committee and the Chairman of the District Nominating Committee of the upcoming vacancies on both the District Committee and the District Nominating Committee, and the procedures to follow to fill the vacancies. A copy of these letters will be provided to the District Directors.
The District Nominating Committee will be provided by Corporation staff with information considered relevant to the nominating process, including analytical data pertaining to the District membership.
3. The Secretary of NASD Regulation and the Membership Department will e-mail a reminder to all members of their responsibility and obligation to keep current and accurate information on their Executive Representatives and branch office addresses. The e-mail will contain a reference to the NASDRSM Web Site (www.nasdr.com) and detail the process for changing a firm's Executive Representative. This e-mail will note that failure to keep this information accurate may jeopardize the member's ability to participate in District elections as well as other member votes.
4. The Secretary of the Corporation on behalf of the District Committee Chairman will send a Notice to Members announcing the forthcoming elections to the Executive Representative and each branch office of all members eligible to vote in that District. The Notice to Members will contain: a) the number of vacancies for each District; and b) the remaining members of each District Committee. Members interested in serving on the District Committee or District Nominating Committee will be requested to complete the candidate profile sheet and submit it to the District Nominating Committee Chairman or the District Director. The completed candidate profile sheet will be provided to all Nominating Committee members for review.
5. The District Nominating Committee will endeavor to secure fair representation of the membership within the District on the District Committee. One small firm member of each District Committee will serve a one-year term on the Small Firm Advisory Board.
6. The District Nominating Committee will review the background and qualifications of the proposed candidates and the District profile information provided by Corporation staff, and will determine its slate of candidates for the election.
7. The District Nominating Committee will certify to the District Committee each candidate nominated by the District Nominating Committee.
8. Within five (5) calendar days after this certification, a Notice to Members shall be sent to Executive Representatives, communicating the nominees for the vacancies on the District Committees.
9. If an officer, director, or employee of an NASD member is interested in being considered as an additional candidate, he/she must indicate his/her interest to the District Director within fourteen (14) calendar days of the date of the Notice to Members referenced in #8 above. The District Director shall make a written record of the time and date of such notification and the process will continue as described in #10 - #12.
If an additional candidate does not come forward within 14 days, the election of committee members is complete.
10. Additional candidate(s) may be nominated if a petition signed by the Executive Representative of at least 10 percent of the members eligible to vote in the District is filed with the District Nominating Committee within 30 calendar days from the mailing date of the Notice to Members referenced in #8 on the previous page, unless the Secretary of NASD Regulation grants additional time for good cause shown.
11. If no additional candidate(s) are nominated within the 30-calendar day period, then the candidates nominated by the District Nominating Committee shall be considered duly elected, and the District Committee shall certify the election to the Board of Directors of NASD Regulation.
12. If any additional candidate(s) are nominated, the procedures outlined in the Contested Election Procedures will apply.

Additional information pertaining to the District Election Procedures can be found in Article VIII of the By-Laws of NASD Regulation.


Attachment C

Date: _____/______/______

Candidate Profile Sheet

Candidate Information
Name: CRD#:
Firm:
Address:
City/state/zip: No. of Registered People at Firm:
Phone: (_____) Fax: (_____) Email:
Prior Employment (List the most recent first. Feel free to include extra pages if necessary.)
Firm:
Address:
City/state/zip: Dates employed:
Title: No. of Registered People at Firm:
Primary areas of responsibility:
 
Firm:
Address:
City/state/zip: Dates employed:
Title: No. of Registered People at Firm:
Primary areas of responsibility:
 
General Areas of Expertise (please check all that apply) Product Expertise (please check all that apply)
  Compliance/Legal   Corporate Finance   Corporate Bonds   Direct Participation Programs
  Financial & Regulatory Reporting   Institutional Sales   Equity Securities   Government Securities
  Investment Advisory   Operations   Investment Company   Municipal Securities
  Retail Sales   Trading/Market Making   Options   Variable Contracts Securities
  Other:   Other:
Memberships/Positions Held in Trade or Business Organizations
 
 
Past NASD Experience and Dates of Service (please check all that apply)
  Committee Member (Identify committee:) Dates served:
  Arbitrator Dates served:   Mediator Dates served:
  Other: Dates served:
Educational Background
School: Degree:
School: Degree:


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