Election Notice - 10/23/09

Notice of SFAB Election and Ballots

The purpose of this Notice is to distribute to eligible FINRA small firm members the ballots to elect two regional members of the Small Firm Advisory Board (SFAB). Two seats on the SFAB are up for election, the North and the West Region seats.

FINRA small firms in the North and West Regions as of the close of business on October 22, 2009, are eligible to vote in this election. Eligible FINRA small firms can vote for one candidate running for the SFAB seat representing the region to which they are assigned in the Central Registration Depository. Firms are urged to vote in the election of SFAB members.

Ballots are due on Friday, November 20, 2009, and the newly elected SFAB members will take office in January 2010. Attachment A lists the candidates certified by the Corporate Secretary of FINRA as satisfying requirements for each regional SFAB seat. Information about each candidate is available at www.finra.org/sfab/candidateprofiles.

Questions regarding this Election Notice may be directed to:

  • Marcia E. Asquith, Senior Vice President and Corporate Secretary, at (202) 728-8949;
  • T. Grant Callery, Executive Vice President and General Counsel, at (202) 728-8285; or
  • Chip Jones, Senior Vice President, Member Relations, at (240) 386-4797.