Rich text Print
  • 99-74 Nominees for District 10 District Committee and District Nominating Committee

    Special NASD Notice to Members 99-74

    Suggested Routing

    • Senior Management

    • Advertising

    • Continuing Education

    • Corporate Finance

    • Executive Representatives

    • Government Securities

    • Institutional

    • Insurance

    • Internal Audit

    • Legal & Compliance

    • Municipal

    • Mutual Fund

    • Operations

    • Options

    • Registered Representatives

    • Registration

    • Research

    • Syndicate

    • Systems

    • Trading

    • Training

    • Variable Contracts

    National Association of Securities Dealers, Inc.

    Notice Of Nominees

    In accordance with the National Association of Securities Dealers, Inc. (NASD®) By-Laws, the purpose of this Special Notice to Members is to advise members of the nominees to fill vacancies on the District Committee and the District Nominating Committee in District 10 (New York). The individuals identified in this Special Notice to Members have been nominated for three-year terms on the District Committee and for one-year terms on the District Nominating Committee which begin in January 2000. (Nominees for Districts 1, 2, 3, 4, 5, 6, 7, 8, 9, and 11 were announced in Special Notice to Members 99-62 that was mailed to members on July 15, 1999.)

    We appreciate the interest shown by many of you in participating in the District Committees. We look forward to your participation in the matters of the Districts during the coming year. Following is a general description of the procedures pertaining to this stage of the election.

    • If an officer, director, or employee of an N A S D 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 this Special Notice to Members. The District Director shall make a written record of the time and date of such notification.

    • If an additional candidate does not come forward after the 14 days, the election of the committee is complete.

      If an additional candidate does come forward within the 14 calendar days, the Secretary of NASD Regulation® will provide a list of all NASD members eligible to vote in the District and their Executive Representatives to the additional candidate immediately following receipt of the additional candidate's notice by the District Director.

    • 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 list of members eligible to vote, unless the Secretary of NASD Regulation grants additional time for good cause shown. Only an Executive Representative may sign a petition on behalf of an NASD member.

    • 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.

    Questions concerning this Special Notice may be directed to:

    Joan C. Conley
    Corporate Secretary
    National Association of Securities Dealers, Inc.
    1735 K Street, N.W.
    Washington, D.C. 20006-1500
    (202) 728-8381

    National Association of Securities Dealers, Inc.

    District 10 District Committee Nominees And District Nominating Committee Nominees

    The following persons have been nominated to serve on District 10 District Committee and District Nominating Committee.

    District 10

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

    The five boroughs of New York City

    District Committee Nominees

    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 Nominating Committee Nominees

    Ralph J. Costanza
    Salomon Smith Barney Inc.
    New York, NY

    Joan S. Green
    BT Brokerage Corporation
    New York, NY

    Vicki Z. Holleman
    Loeb Partners Corporation
    New York, NY

    Norman H. Pessin
    Neuberger & Berman
    New York, NY

    Stuart J. Voisin
    Stuart Coleman & Co. Inc.
    New York, NY