Small Firms Information

2012 Small Firm Advisory Board Election

On October 17, 2012, executive representatives of FINRA Small Firms in the North and West regions were mailed an Election Notice and ballot to elect the Small Firm Advisory Board (SFAB) member to represent their region. Ballots must be returned no later than November 16, 2012, and the newly elected SFAB members will take office in January 2013.


Each candidate was provided an opportunity to submit a biography and statement. FINRA has posted the information from the candidates to help firms learn more about each candidate in their region.



Firms may vote for one candidate for the region corresponding to the district to which they are assigned in the Central Registration Depository. To review the candidates in your region, please follow the appropriate link below.


  • North Region: Connecticut, Delaware, the District of Columbia, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City), Pennsylvania, Rhode Island, Vermont, Virginia and West Virginia (Districts 9 and 11)
  • West Region: Alaska, Arizona, California, Colorado, Hawaii, Idaho, Montana, Nevada, New Mexico, Oregon, Utah, Washington, Wyoming and the former U.S. Trust Territories (Districts 1, 2 and 3)