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Financial Industry Regulatory Authority (FINRA)

Annual Meeting of Firms of FINRA on August 12, 2010


Preliminary Voting results as of August 13, 2010 at 11:49

Eligible Voted
QUORUM
to Vote to Date
Small Firms 4,306 2,109 48.98%
Mid-Size Firms 220 117 53.18%
Large Firms 172 91 52.91%
Overall 4,698 2,317 49.32%

Small Firms
Prop 1: Election of Governors
First Class For
G. Donald Steel 588
Ken Norensberg 904
Howard Spindel 551

Second Class For


Mari Buechner 671
Joel R. Blumenschein 1,349

Third Class For


Lisa Roth 794
Jed Bandes 1,230

Mid-Size Firms
Prop 1: Election of Governor
Second Class For
W. Dennis Ferguson 71
Timothy Smith 41

Large Firms
Prop 1: Election of Governors
First Class For
Richard F. Brueckner 81

Second Class For


Seth H. Waugh 76

Third Class For


James D. Weddle 81
Prop 2: Disclosure of Compensation of FINRA's Top Ten Most Highly Compensated Employees
FOR AGAINST ABSTAIN TOTAL
Small Firms 1,757 85.1% 307 14.9% 45 2,109
Mid-Size Firms 78 67.8% 37 32.2% 2 117
Large Firms 51 58.0% 37 42.0% 3 91
Overall 1,886 83.2% 381 16.8% 50 2,317

Prop 3: Independent Study of Officer and/or Director Involvement with the Madoff Family
FOR AGAINST ABSTAIN TOTAL
Small Firms 1,407 70.8% 581 29.2% 121 2,109
Mid-Size Firms 55 50.0% 55 50.0% 7 117
Large Firms 29 34.1% 56 65.9% 6 91
Overall 1,491 68.3% 692 31.7% 134 2,317

Prop 4: Transparency of FINRA Investment Policies, Practices and Transactions


FOR AGAINST ABSTAIN TOTAL
Small Firms 1,590 78.5% 435 21.5% 84 2,109
Mid-Size Firms 68 60.2% 45 39.8% 4 117
Large Firms 37 43.0% 49 57.0% 5 91
Overall 1,695 76.2% 529 23.8% 93 2,317

Prop 5: FINRA Board of Governors Meetings Should Be Made Public


FOR AGAINST ABSTAIN TOTAL
Small Firms 1,604 79.2% 420 20.8% 85 2,109
Mid-Size Firms 64 57.7% 47 42.3% 6 117
Large Firms 34 39.1% 53 60.9% 4 91
Overall 1,702 76.6% 520 23.4% 95 2,317

Prop 6: "Say on Pay" for Top Five Most Highly Compensated FINRA Employees
FOR AGAINST ABSTAIN TOTAL
Small Firms 1,496 74.5% 513 25.5% 100 2,109
Mid-Size Firms 62 54.9% 51 45.1% 4 117
Large Firms 31 35.6% 56 64.4% 4 91
Overall 1,589 71.9% 620 28.1% 108 2,317

Prop 7: Creation and Employment of an Independent Private Sector Inspector General


FOR AGAINST ABSTAIN TOTAL
Small Firms 1,404 70.3% 594 29.7% 111 2,109
Mid-Size Firms 55 49.6% 56 50.5% 6 117
Large Firms 27 30.7% 61 69.3% 3 91
Overall 1,486 67.6% 711 32.4% 120 2,317

Prop 8: Disclosure of IRS Correspondence Concerning $35,000 NASD Member Payment


FOR AGAINST ABSTAIN TOTAL
Small Firms 1,396 72.9% 518 27.1% 195 2,109
Mid-Size Firms 54 49.1% 56 50.9% 7 117
Large Firms 25 29.8% 59 70.2% 7 91
Overall 1,475 70.0% 633 30.0% 209 2,317