2017 Small Firm Advisory Board Election

On October 20, 2017, FINRA announced the Small Firm Advisory Board (SFAB) election for North, South and Midwest Regions. Eligible small firms in the North and South Regions were mailed a copy of the Notice and a ballot to vote in this election. Ballots must be returned no later than November 20, 2017, and the newly elected SFAB member will take office in January 2018.

The Midwest Region seat is uncontested. Therefore, FINRA is not distributing ballots for the Midwest Region seat.


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.

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)

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)

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