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04-42 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections

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INFORMATIONAL

District Elections

SUGGESTED ROUTING

KEY TOPICS

Executive Representatives
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 NASD District Committees and District Nominating Committees.

Information on District Committee and District Nominating Committee members currently serving through 2005, 2006, and 2007 is included in Attachment A. Information on District Election Procedures is included in Attachment B. A blank candidate profile sheet is also included (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. In this election, each District Committee will have three vacancies to fill, with the exception of District 10, which will have four. The term of office for District Committee members is three years. Each District Nominating Committee will have five vacancies to fill for a one-year term. Members are requested to submit candidates' names to the appropriate District Director by submitting a cover letter and completed candidate profile sheet (Attachment C) by July 26, 2004.

To serve as a member of a District Committee or District Nominating Committee, an individual must: (1) be employed by an NASD member eligible to vote in the District for District Committee elections; and (2) work primarily from such NASD member's principal office or a branch office that is located within the District where the individual will serve on a Committee. NASD believes this will ensure that local interests are represented on Committees. Also, please note that individuals who have served two consecutive terms are no longer eligible to be re-elected; however, NASD encourages current and former committee members to assist NASD by soliciting candidates for both committees.

Completed forms will be provided to all members of the appropriate District Nominating Committee for review. It is anticipated that on or before September 3, 2004, each District Director, acting on behalf of the District Nominating Committee, will notify the Secretary of NASD of each candidate nominated by the District Nominating Committee and the position to which the candidate is nominated.

Members are reminded of the importance to accurately maintain their Executive Representative name and e-mail address information, as well as their firm's main postal address.1 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 the Executive Representative name and e-mail address, firms should access the NASD Contact System, located on NASD's Web site at www.nasdr.com/ncs.asp

To update postal address information, the firm must file a Form BD Amendment via the Web CRD system. For assistance updating either of these systems, you may contact our Call Center at (301) 590-6500.

Questions/Further Information

Questions concerning this Special Notice may be directed to the District Director noted or to Barbara Z. Sweeney, Senior Vice President and Corporate Secretary, NASD, at (202) 728-8062 or via e-mail at barbara.sweeney@nasd.com.


1 See also Notice to Members 04-32 (SEC Approves Amendments to Require Quarterly Review and Update of Executive Representative Contact Information).


Attachment A

District 1 Committee and District Nominating Committee Members

Elisabeth P. Owens, District Director
525 Market Street, Suite 300, San Francisco, CA 94105      (415) 882-1201

District 1 Committee — Chair: Robert A. Muh

Members to be elected to terms expiring January 2008: 3

Committee members to serve until January 2005
Gerard P. Gloisten GBS Financial Corporation Santa Rosa, CA
Allan L. Herzog Prudential Securities, Inc. San Francisco, CA
Robert A. Muh Sutter Securities, Inc. San Francisco, CA
Committee members to serve until January 2006
Warren E. Gordon Charles Schwab & Co., Inc. San Francisco, CA
William P. Hayes Wells Fargo Investments, LLC San Francisco, CA
Francis X. Roche, II RBC Dain Rauscher, Inc. San Francisco, CA
Committee members to serve until January 2007
William A. Evans Stone & Youngberg, LLC San Francisco, CA
Mansoor Kisat Citigroup Global Markets, Inc. Santa Rosa, CA
Arthur E. Raitano Hoefer & Arnett, Incorporated San Francisco, CA
District 1 Nominating Committee — Chair: James D. Klein
Committee members to be elected to terms expiring January 2005: 5
Committee Members
Stephen R. Adams Wells Fargo Investments, LLC San Francisco, CA
Sally G. Aelion Emmett A. Larkin Company, Inc. San Francisco, CA
Robert S. Basso Correspondent Services Corporation San Francisco, CA
James D. Klein UBS PaineWebber, Inc. San Francisco, CA
L. Robert McKulla Wachovia Securities Walnut Creek, CA

District 2 Committee and District Nominating Committee Members

Lani M. Sen Woltmann, District Director
300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071      (213) 613- 2601

District 2 Committee — Chair: James E. Biddle

Members to be elected to terms expiring January 2008: 3

Committee members to serve until January 2005
Barbara A. Kelley1 Pacific Global Investment Management Company Glendale, CA
Joan A. Payden Payden & Rygel Los Angeles, CA
Joel H. Ravitz Quincy Cass Associates Los Angeles, CA
Committee members to serve until January 2006
James E. Biddle2 The Securities Center Incorporated Chula Vista, CA
A. William Cohen Integrated Trading and Investments, Inc. Las Vegas, NV
Don S. Dalis UBS PaineWebber Inc. Newport Beach, CA
Committee members to serve until January 2007
Stephen B. Benton Financial Network Investment Corporation Torrance, CA
James M. S. Dillahunty Fixed Income Securities, LLC San Diego, CA
John D. Lewis JDL Securities Corp. Newport Beach, CA
District 2 Nominating Committee — Chair: Margaret M. Black
Committee members to be elected to terms expiring January 2005: 5
Committee Members
Margaret M. Black Morgan Stanley Century City, CA
Diane P. Blakeslee Blakeslee & Blakeslee, Inc. San Luis Obispo, CA
Miles Z. Gordon   Indian Wells, CA
Richard B. Gunter Wedbush Morgan Securities Los Angeles, CA
Steven K. McGinnis   Irvine, CA

1 Ms. Kelley was appointed to fill a vacancy created by the resignation of Guy Williams. Ms. Kelley's term expires in January 2005.

2 Mr. Biddle was appointed to fill a vacancy created by the resignation of Donna Bartlett Lawson. Mr. Biddle must stand for election to serve out the remaining term, which expires in January 2006.

District 3 Committee and District Nominating Committee Members

Joseph M. McCarthy, District Director
370 17th Street, Suite 2900, Denver, CO 80202      (303) 446-3100

James G. Dawson, District Director
Two Union Square, 601 Union Street, Suite 1616, Seattle, WA 98101-2327      (206) 624-0790

District 3 Committee — Chair: John W. Goodwin

Members to be elected to terms expiring January 2008: 3

Committee members to serve until January 2005
Gregory R. Anderson TIAA/CREF Individual & Institutional Services, Inc. Denver, CO
Robert E. Frey, Jr. KMS Financial Services, Inc. Seattle, WA
John F. York Strand, Atkinson, Williams & York, Inc. Portland, OR
Committee members to serve until January 2006
Gene G. Branson Partners Investment Network, Inc. Spokane, WA
Bridget M. Gaughan SunAmerica Financial Network, Inc. Phoenix, AZ
John W. Goodwin Goodwin Browning & Luna Securities, Inc. Albuquerque, NM
Committee members to serve until January 2007
Curtis J. Hammond Morgan Stanley Dean Witter Bellevue, WA
J. Keith Kessel AFS Brokerage, Inc. Greenwood Village, CO
Arlene M. Wilson D.A. Davidson & Co. Great Falls, MT
District 3 Nominating Committee — Chair: Anthony B. Petrelli
Committee members to be elected to terms expiring January 2005: 5
Committee Members
Elyssa S. Baltazar Morgan Stanley Dean Witter, Inc. Denver, CO
L. Hoyt DeMers Wells Fargo Investments, LLC Seattle, WA
Steven R. Larson Richards, Merrill & Peterson, Inc. Spokane, WA
Kathryn A. Supko Northwestern Mutual Investment Services, LLC Boise, ID
Anthony B. Petrelli Neidiger, Tucker, Bruner, Inc. Denver, CO

District 4 Committee and District Nominating Committee Member

Thomas D. Clough, District Director
120 West 12th Street, Suite 900, Kansas City, MO 64105      (816) 802-4708

District 4 Committee — Chair: Frank H. Kirk

Members to be elected to terms expiring January 2008: 3

Committee members to serve until January 2005
Frank H. Kirk Wachovia Securities, Inc. Kansas City, MO
James H. Warner The Warner Group Sioux City, IA
Vacancy3    
Committee members to serve until January 2006
Michael D. Burns USAllianz Securities, Inc. Minneapolis, MN
Deborah M. Castiglioni Cutter & Company, Inc. Chesterfield, MO
Kevin P. Maas PrimeVest Financial Services, Inc. St. Cloud, MN
Committee members to serve until January 2007
Joseph P. Fleming Piper Jaffray & Co. Minneapolis, MN
Richard M. Hurwitz Benefit Finance Securities, LLC St. Louis, MO
Mark T. Lasswell Wells Fargo Brokerage Services, LLC Minneapolis, MN
District 4 Nominating Committee — Chair: L.C (Jack) Petersen
Committee members to be elected to terms expiring January 2005: 5
Committee Members
Gene M. Diederich A.G. Edwards & Sons, Inc. Overland Park, KS
Timothy J. Lyle Cambridge Investment Research, Inc. Fairfield, IA
E. John Moloney Moloney Securities Co., Inc. St. Louis, MO
L. C. (Jack) Petersen Kirkpatrick, Pettis, Smith, Polian, Inc. Omaha, NE
Pamela R. Ziermann Dougherty & Company, LLC Minneapolis, MN

3 This vacancy was created by the resignation of William R. Giovanni. The term expires in January 2005.

District 5 Committee and District Nominating Committee Members

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

District 5 Committee — Chair: John J. Dardis

Members to be elected to terms expiring January 2008: 3

Committee members to serve until January 2005
John J. Dardis Jack Dardis & Associates, Ltd. Metairie, LA
Philip J. Dorsey Dorsey & Company, Inc. New Orleans, LA
James T. Ritt Morgan Keegan & Company, Inc. Memphis, TN
Committee members to serve until January 2006
Victor E. Blaylock BancorpSouth Investment Service, Inc. Jackson, MS
Carolyn R. May Benchmark Investments, Inc. Little Rock, AR
F. Eugene Woodham Sterne, Agee & Leach, Inc. Birmingham, AL
Committee members to serve until January 2007
Jennifer Carty Scola Carty & Company, Inc. Memphis, TN
R. Patrick Shepherd Avondale Partners, L.L.C. Nashville, TN
Donald Winton Crews & Associates, Inc. Little Rock, AR
District 5 Nominating Committee — Chair: Duncan F. Williams
Committee members to be elected to terms expiring January 2005: 5
Committee Members
David A. Daugherty James Baker & Associates Oklahoma City, OK
James S. Holbrook, Jr. Sterne, Agee & Leach, Inc. Birmingham, AL
E. Douglas Johnson, Jr. Johnson Rice & Company, L.L.C. New Orleans, LA
Tom R. Steele Equitable Advisors, Inc. Nashville, TN
Duncan F. Williams Duncan-Williams, Inc. Memphis, TN

District 6 Committee and District Nominating Committee Members

Virginia F. M. Jans, District Director
12801 N. Central Expressway, Suite 1050, Dallas, TX 75243      (972) 701-8554

District 6 Committee — Chair: Sennett Kirk, III

Members to be elected to terms expiring January 2008: 3

Committee members to serve until January 2005
Donaldson D. Frizzell First Command Educational Foundation Fort Worth, TX
Sennett Kirk, III Kirk Securities Corporation Denton, TX
V. Keith Roberts Stanford Group Company Houston, TX
Committee members to serve until January 2006
Brent T. Johnson Multi-Financial Securities Corporation Houston, TX
John R. Muschalek First Southwest Company Dallas, TX
Robert L. Nash SWS Securities, Inc. Dallas, TX
Committee members to serve until January 2007:
Karen Banks Frost Brokerage Services, Inc. San Antonio, TX
Cynthia E. Besek Maplewood Investment Advisors, Inc. Dallas, TX
Darryl W. Traweek RBC Dain Rauscher, Inc. Houston, TX
District 6 Nominating Committee — Chair: Edward M. Milkie
Committee members to be elected to terms expiring January 2005: 5
Committee Members
Christoper R. Allison M.E. Allison & Co., Inc. San Antonio, TX
C. Ronald Baker The (Wilson) Williams Financial Group Lubbock, TX
William B. Madden Madden Securities Corporation Dallas, TX
Edward M. Milkie Milkie/Ferguson Investments, Inc. Dallas, TX
David W. Turner Wachovia Securities, LLC Fort Worth, TX

District 7 Committee and District Nominating Committee Members

David Paulukaitis, Associate Director
One Securities Centre, Suite 500, 3490 Piedmont Road, NE, Atlanta, GA 30305      (404) 239-6128

District 7 Committee — Chair: Jeffrey P. Adams

Members to be elected to terms expiring January 2008: 3

Committee members to serve until January 2005
Jeffrey P. Adams Balentine & Company Atlanta, GA
Richard G. Averitt, III Raymond James Financial Services, Inc. St. Petersburg, FL
Roark A. Young Young, Stovall and Company Miami, FL
Committee members to serve until January 2006
Joseph B. Gruber FSC Securities Corporation Atlanta, GA
Dennis S. Kaminski Mutual Service Corporation West Palm Beach, FL
James A. Klotz FMSBonds, Inc. North Miami Beach, FL
Committee members to serve until January 2007
Susan J. Hechtlinger Banc of America Investment Services, Inc. Charlotte, NC
Landrum H. Henderson, Jr. Legg Mason Wood Walker, Inc. Charlotte, NC
Alan L. Maxwell, Jr. Wachovia Capital Markets, LLC Charlotte, NC
District 7 Nominating Committee — Chair: Michael D. Hearn, Esq.
Committee members to be elected to terms expiring January 2005: 5
Committee Members
Michael D. Hearn, Esq. Banc of America Investment Services, Inc. Charlotte, NC
Kenneth W. McGrath Popular Securities, Inc. Hato Rey, PR
C. John O'Bryant, III PowellJohnson, Private Asset Management Raleigh, NC
Glenn R. Oxner Scott & Stringfellow, Inc. Greenville, SC
John W. Waechter William R. Hough & Co. St. Petersburg, FL

District 8 Committee and District Nominating Committee Members

Carla A. Romano, District Director
55 West Monroe Street, Suite 2700, Chicago, IL 60603      (312) 899-4324

District 8 Committee — Chair: Jill R. Powers

Members to be elected to terms expiring January 2008: 3

Committee members to serve until January 2005
Bernard A. Breton Carillon Investments, Inc. Cincinnati, OH
Donald A. Carlson B.C. Ziegler and Company Chicago, IL
William K. Curtis M & I Brokerage Services, Inc. Milwaukee, WI
Gerald L. Oaks Legg Mason Wood Walker, Inc. Cincinnati, OH
Jill R. Powers Oberlin Financial Corporation Bryan, OH
Committee members to serve until January 2006
Wilbur H. Burch Newbridge Securities Corporation Saginaw, MI
Thomas M. McDonald Wayne Hummer Investments, L.L.C. Chicago, IL
James J. Roth Pershing A BNY Securities Group Co. Oak Brook, IL
Committee members to serve until January 2007
Michael E. Bosway City Securities Corporation Indianapolis, IN
Robert J. Michelotti Ferris, Baker Watts Incorporated Auburn Hills, MI
Lora Rosenbaum Northwestern Mutual Investment Services, LLC Milwaukee, WI
District 8 Nominating Committee — Chair: Mary D. Esser
Committee members to be elected to terms expiring January 2005: 5
Committee Members
William C. Alsover, Jr. Centennial Securities Company, Inc. Grand Rapids, MI
Mary D. Esser Cressman Esser Securities, Inc. Naperville, IL
Gregory W. Goelzer Goelzer Investment Management Indianapolis, IN
Rodney Trautvetter Harris Investor Services LLC Chicago, IL
Bruce J. Young Mesirow Financial, Inc. Chicago, IL

District 9 Committee and District Nominating Committee Members

John P. Nocella, District Director
1835 Market Street, Suite 1900, Philadelphia, PA 19103      (215) 963-1992

Gary K. Liebowitz, District Director
581 Main Street, 7th Floor, Woodbridge, NJ 07095      (732) 596-2025

District 9 Committee — Chair: Michael B. Row

Members to be elected to terms expiring January 2008: 3

Committee members to serve until January 2005
James E. Bickley Cresap, Inc. Horsham, PA
Michael B. Row Pershing LLC Jersey City, NJ
Michael S. Mortensen PNC Investments Pittsburgh, PA
Committee members to serve until January 2006
Richard Grobman Oppenheimer & Co., Inc. Philadelphia, PA
W. Dean Karrash Burke, Lawton, Brewer & Burke Spring House, PA
Gregg A. Kidd Pinnacle Investments Inc. East Syracuse, NY
Committee members to serve until January 2007
John Bluher Knight Equity Markets, L.P. Jersey City, NJ
Barry M. Cash UBS Financial Services, Inc. Fishkill, NY
Peter P. Jenkins Credit Suisse First Boston LLC Baltimore, MD
District 9 Nominating Committee — Chair: Lenda P. Washington
Committee members to be elected to terms expiring January 2005: 5
Committee Members
J. Lee Keiger, III Davenport & Company, LLC Richmond, VA
John P. Meegan Parker/Hunter Incorporated Pittsburgh, PA
Lance A. Reihl 1717 Capital Management Co. Newark, DE
Howard B. Scherer Janney Montgomery Scott LLC Philadelphia, PA
Lenda P. Washington GRW Capital Corporation Washington, DC

District 10 Committee and District Nominating Committee Members

Hans L. Reich, Regional Director
One Liberty Plaza, 49th Floor, 165 Broadway, New York, NY 10006      (212) 858-4180

District 10 Committee — Chair: Jennifer A. Connors

Members to be elected to terms expiring January 2008: 4

Committee members to serve until January 2005
Jennifer A. Connors ITG Inc. New York, NY
Christopher R. Franke J.P. Morgan Securities Inc. New York, NY
Joan E. Hoffman Deutsche Banc A.G. New York, NY
Bertram J. Riley Sr. Petersen Investments, Inc. New York, NY
Mark W. Ronda Fahnestock & Co. Inc. New York, NY
Committee members to serve until January 2006
Margaret M. Caffrey4 Schonfeld & Company, LLC Jericho, NY
Raymond C. Holland, Sr. Triad Securities Corp. New York, NY
Andrew H. Madoff Bernard L. Madoff Investment Services LLC New York, NY
Richard J. Paley Daiwa Securities America, Inc. New York, NY
Committee members to serve until January 2007
Richard Berenger Sky Capital, LLC New York, NY
Lon T. Dolber American Portfolios Financial Services, Inc. Holbrook, NY
George T. Mimura Nomura Securities International, Inc. New York, NY
Howard R. Plotkin Lehman Brothers Inc. New York, NY
District 10 Nominating Committee — Chair: Judith R. MacDonald
Committee members to be elected to terms expiring January 2005: 5
Committee Members
William Behrens Northeast Securities, Inc. New York, NY
Ruth S. Goodstein UBS Financial Services, Inc. New York, NY
Judith R. MacDonald Rothschild, Inc. New York, NY
Charles V. Senatore Fidelity Brokerage Services, LLC New York, NY
Stephen C. Strombelline BNP Paribas Securities Corp. New York, NY

4 Ms. Caffrey was appointed to fill a vacancy created by the resignation of Vicki Holleman. Ms. Caffrey must stand for election to serve out the remaining term, which expires in January 2006.

District 11 Committee and District Nominating Committee Members

Frederick F. McDonald, District Director
260 Franklin Street, Suite 1600, Boston, MA 02110      (617) 261-0805

District 11 Committee — Chair: Thomas J. Horack

Members to be elected to terms expiring January 2008: 3

Committee members to serve until January 2005
Michael C. Braun Moors & Cabot, Inc. Boston, MA
Andrew F. Detwiler Vandham Securities Corp. Boston, MA
Thomas J. Horack John Hancock Life Insurance Company Boston, MA
Committee members to serve until January 2006
Mark R. Hansen State Street Global Markets, LLC Boston, MA
Lee G. Kuckro Advest, Inc. Hartford, CT
Wilson G. Saville5 Barrett & Company Providence, RI
Committee members to serve until January 2007
David K. Booth Jefferson Pilot Securities Corp. Concord, NH
Thomas F. Hollenbeck J.P. Morgan Invest, LLC Boston, MA
Curtis L. Snyder, Jr. American Technology Research, Inc. Greenwich, CT
District 11 Nominating Committee — Chair: John D. Lane
Committee members to be elected to terms expiring January 2005: 5
Committee Members
Richard J. DeAgazio Boston Capital Services, Inc. Boston, MA
John D. Lane Lane Capital Markets LLC Fairfield, CT
John I. Fitzgerald Leerink Swann & Company Boston, MA
Robert V. Rodia People's Securities, Inc. Bridgeport, CT
Gregory D. Teese Equity Services, Inc. Montpelier, VT

5 Mr. Saville was appointed to fill a vacancy created by the resignation of Gregg A. Kidd. Mr. Saville must stand for election to serve out the remaining term, which expires in January 2006.

ATTACHMENT B

Procedures for Electing District Committee and District Nominating Committee Members

1. Each NASD 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 has sent the foregoing written notice to each District Nominating Committee member and each District Director identifying the members of the District Committee and the District Nominating Committee whose terms expire in January 2005. The notice describes the election procedures to be followed in filling these positions.
3. The Secretary of NASD and the Member Regulation Department will e-mail a reminder to all members of their responsibility, and obligation, to keep current and accurate the information on their Executive Representatives. The e-mail will contain a reference to the NASD Contact System, located on NASD's Web site at www.nasdr.com/ncs.asp, for changing a firm's Executive Representative name, email and postal address. This e-mail will note that failure to keep this information accurate may jeopardize the member's ability to participate in the district elections, as well as in other member votes.
4. The Secretary of NASD will send a Notice to Members announcing the forthcoming elections to the Executive Representative of all NASD members eligible to vote in each district. The Notice to Members will identify: (a) the number of positions that need to be filled in each district; and (b) the incumbent members of each District Committee. Persons associated with an NASD member who are interested in serving on the District Committee or the District Nominating Committee within their district, must complete a candidate profile sheet and submit it to the District Director. The completed candidate profile sheets will be provided to all members of the appropriate District Nominating Committee for review. During this stage of the election process, the District Nominating Committee identifies and solicits candidates to nominate for election to the District Committee and the District Nominating Committee.
5. Soon after the expiration of the time allotted in the Notice to Members to submit names and candidate profile sheets for consideration, the District Nominating Committee will meet to determine its slate of candidates for the election. NASD staff will provide the District Nominating Committee members with information considered to be relevant to the nomination process, including:

  • analytical data pertaining to the district's membership; and


  • candidate profile sheets.

6. In determining its slate of candidates for the election, the District Nominating Committee will review the background and qualifications of the proposed candidates, and endeavor to secure appropriate and fair representation on the District Committee and on the District Nominating Committee of the various sections of the district and various classes and types of NASD members engaged in the investment banking or securities business within the district. The slate must include one candidate for each position to be filled on the District Committee and on the District Nominating Committee.
7. On or before September 3, 2004, the District Director, acting on behalf of the District Nominating Committee, will notify the Secretary of NASD of each candidate nominated by the District Nominating Committee and the position to which the candidate is nominated.
8. On or before October 1, 2004, the Secretary of NASD will send a Notice to Members to the District Committees and the Executive Representatives of NASD members eligible to vote in each district, identifying the nominees for the District Committees and the District Nominating Committees.

If the District Nominating Committee nominates only one candidate for each position on the District Committee and the District Nominating Committee and no additional candidate comes forward by delivering written notice to the appropriate District Director within 14 calendar days after the date of the Notice to Members identifying the nominees, the candidates nominated by the District Nominating Committee are considered duly elected.
9. If an officer, director, or employee of an NASD member was not nominated by the District Nominating Committee and wants to be considered for election to the District Committee or the District Nominating Committee as an additional candidate, he/she must notify the District Director in writing within 14 calendar days after the date of the Notice to Members referenced in item 8 above. The District Director must make a written record of the time and date of the receipt of such notification.
10. Promptly following receipt of the additional candidate's timely notice, the Secretary of NASD will provide to the additional candidate a list of all NASD members eligible to vote in the district, their mailing addresses, and their Executive Representatives.
11. An additional candidate is considered nominated if a petition signed by the Executive Representative of at least 10 percent of the NASD members eligible to vote in the district is filed with the District Nominating Committee within 30 calendar days after the mailing date of the list to the additional candidate referenced in item 10 above.
12. If an additional candidate secures the required petition within the 30-day designated timeframe, the election is considered a contested election. The Secretary of NASD will send a Notice to Members to the Executive Representatives of NASD members eligible to vote in the district announcing the names of all candidates and describing the contested election procedures.

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

Date:_______/______/______

ATTACHMENT C Candidate Profile Sheet

Current Employment
Name: CRD#:
Firm: #RRs at Firm:
Title/Primary Responsibility:
Address:
City: State: Zip:
Phone: Fax:
E-mail:
Prior Employment (List the most recent first. Feel free to include extra pages if necessary.)
Firm:
Title/Primary Responsibility:
Firm:
Title/Primary Responsibility:

General Areas of Expertise (please check all that apply) Product Expertise (please check all that apply)
• Compliance/Legal • Investment Advisory • Corporate Bonds • Investment Company
• Corporate Finance • Retail Sales • Direct Participation Programs • Options
• Financial/Operational • Trading/Market Making • Equity Securities • Variable Contracts Securities
• Institutional Sales • Other
________________
________________
• Municipal/Government Securities • 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: ) Approx. Dates:
Arbitrator Approx. Dates:
Mediator Approx. Dates:
Expert Witness (arbitrations; disciplinary proceedings): Approx. Dates:
Other: Approx. Dates:
Educational Background
School: Degree:
School: Degree:

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