2014 Small Firm Advisory Board Election

On October 15, 2014, FINRA announced the Small Firm Advisory Board (SFAB) election for the Midwest and South Region seats. Eligible small firms in the South Region were mailed a copy of the Notice and a ballot in the mail to vote in this election. Ballots must be returned no later than November 14, 2014, and the newly elected SFAB member will take office in January 2015.

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.

Midwest Region: Illinois, Indiana, Iowa, Kansas, Kentucky, Michigan, Minnesota, Missouri, Nebraska, North Dakota, Ohio, South Dakota and Wisconsin (Districts 4 and 8)

South Region: Alabama, Arkansas, Florida, Georgia, Louisiana, Mississippi, North Carolina, Oklahoma, Panama, Puerto Rico, South Carolina, Tennessee, Texas, and the Virgin Islands (Districts 5, 6 and 7)