Small Firms Information

2013 Small Firm Advisory Board Election

The recent FINRA election to elect a New York Region member of the Small Firm Advisory Board (SFAB) resulted in a tie. FINRA is holding a runoff election for eligible small firm members in the New York region to select their SFAB representative. See more about the candidates in the runoff election.


On October 16, 2013, executive representatives of FINRA Small Firms in the New York Region 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 15, 2013, and the newly elected SFAB member will take office in January 2014.


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, please follow the link below.


New York Region: New York (the counties of Nassau and Suffolk, and the five boroughs of New York City) (District 10)