From the September 2007 issue of Investment Advisor • Subscribe!

FINRA Interim Board

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from The Advisor's Professional Library
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The Financial Industry Regulatory Authority (FINRA), the newly combined NASD-NYSE regulatory agency, announced the appointment of a 23-member Interim Board of Governors on August 2. Members of the interim board will serve until the super-SRO's annual meeting on October 26, when elections will be held for a three-year Transition Board of Governors.

At the annual meeting, three small-firm representatives, one mid-sized firm representative, and three large-firm representatives will be elected to serve on the transition board along with 14 interim board members who have been appointed to that transition board.

Included on the interim board is John Simmers, CEO of ING Advisors Network and chairman of the Financial Services Institute.

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