Election Notice - 10/15/14

Notice of SFAB Election and Ballots

Ballots Due: November 14, 2014

Executive Summary

The purpose of this Notice is to distribute to eligible FINRA small firm members the ballots to elect a Midwest Region member and a South Region member of the Small Firm Advisory Board (SFAB). FINRA small firm members in the South Region as of the close of business on October 14, 2014, are eligible to vote in this election.

Ballots are due by Friday, November 14, 2014, and the newly elected South Region SFAB member and the unopposed Midwest Region candidate will take office in January 2015. Eligible firms from the South Region are urged to vote in the election of the SFAB member.

Attachment A lists the candidates certified by the Corporate Secretary of FINRA as satisfying the requirements for each regional SFAB seat. Additional 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; or
  • Chip Jones, Senior Vice President, Member Relations and Education, at (240) 386-4797.