Election Notice - October 21, 2010

Notice of SFAB Election and Ballots

Executive Summary

The purpose of this Notice is to distribute to eligible FINRA small firm members the ballot to elect the New York Region member of the Small Firm Advisory Board (SFAB).


FINRA small firms in the New York Region as of the close of business on October 20, 2010, are eligible to vote for one of the candidates. Firms are urged to vote in the election of SFAB members.


Ballots are due by Friday, November 19, 2010, and the newly elected SFAB member will take office in January 2011. Attachment A lists the candidates certified by the Corporate Secretary of FINRA as satisfying requirements for the regional SFAB seat. View information about each candidate.


Questions regarding this Election Noticemay 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 (Corporate), at (202) 728-8285; or
  • Chip Jones, Senior Vice President, Member Relations, at (240) 386-4797.