Election Notice - 10/17/12

Notice of FINRA Small Firm Advisory Board Election and Ballots

Published Date:
Ballot Due: November 16, 2012

The purpose of this Notice is to distribute to eligible FINRA small firm members the ballots to elect North and West Region members of the Small Firm Advisory Board (SFAB). FINRA small firm members in the North and West Regions as of the close of business on October 16, 2012, are eligible to vote in this election.

Ballots are due by Friday, November 16, 2012, and the newly elected SFAB members will take office in January 2013. Eligible firms are urged to vote in  the election of SFAB members.

Attachment A lists the candidates certified by FINRA’s Corporate Secretary as satisfying the requirements for each regional SFAB seat. Additional information about each candidate is available at http://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;
  • Jennifer Piorko Mitchell, Assistant Corporate Secretary, at (202) 278-8949; or
  • Chip Jones, Senior Vice President, Member Relations, at (240) 386-4797.