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Last Updated: 7/25/08
FINRA Small Firm Advisory Board |
The Small Firm Advisory Board (SFAB) is an advisory committee established by the NASD Board of Governors in 1998. The SFAB exists to ensure that issues of particular interest and concern to small firms are effectively communicated to and considered by the FINRA Board of Governors. The SFAB reviews and is apprised of all major regulatory initiatives before they are brought before the FINRA Board. In addition to the SFAB, small firms are also represented through three reserve positions on the FINRA Board.
The SFAB is comprised of 10 members, five at-large members appointed by FINRA's Board of Governors, and five members elected by the small firms - one member in each of the five FINRA regions. FINRA's three small firm representatives to the Board of Governors serve as ex-officio members of the SFAB. In addition, all SFAB members are affiliated with firms employing no more than 150 registered representatives and are senior executives at their firm.
Small Firm Advisory Board Members
Louis Denton (Chairman)
Petersen Investments, Inc.
New York, NY
(610) 238-0888
Mari Buechner
Coordinated Capital Securities, Inc.
Madison, WI
(608) 221-4545
John Fitzgerald (North Region)
Leerink Swann & Company
Boston, MA
(617) 918-4564
James S. Jones
Crews & Associates
Little Rock, AR
(501) 978-7907
Carolyn R. May (South Region)
Simmons First Investment Group, Inc.
Little Rock, AR
(501) 224-6808
John Moloney (Midwest Region)
Moloney Securities Co., Inc.
Manchester, MO
Robert Muh
Sutter Securities, Inc.
San Francisco, CA
(415) 352-6310
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Daniel W. Roberts (West Region)
Roberts & Ryan Investments, Inc.
San Francisco, CA
(415) 956-2000
Lisa Roth
Keystone Capital Corporation
San Diego, CA
(619) 283-3107
Howard Spindel (New York Region)
A.J. Pace & Co., Inc.
New York, NY
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G. Donald Steel (Ex-Officio)
Planned Investment Company, Inc.
Indianapolis, IN
Duncan F. Williams (Ex-Officio)
Duncan - Williams, Inc.
Memphis, TN
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