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Small Firm Advisory Committee (SFAC)

Call for Candidates: SFAC and Regional Committee Elections 
This fall, firms will elect representatives to fill seats on FINRA’s Small Firm Advisory Committee and Regional Committees. Are you interesting in lending your experience and expertise, and engaging with FINRA on issues that impact the securities industry? We encourage you to read the SFAC and Regional Committee Election Notices and consider becoming a candidate. (SFAC and Regional Committee candidate profile forms are due to the Office of the Corporate Secretary by Mon., Oct. 6.)

The Small Firm Advisory Committee (SFAC) is an advisory committee established by the NASD Board of Governors in 1998. The SFAC ensures that issues of particular interest and concern to small firms are effectively communicated to and considered by the FINRA Board of Governors. The SFAC reviews and comments on all new and amended FINRA rule proposals, and provides guidance to FINRA staff regarding the potential impact of proposed regulatory initiatives on FINRA's small firms.

The SFAC is comprised of 10 members, five at-large members appointed by FINRA's Board of Governors, and five members elected by the small firms - one member in each of the five FINRA regions. FINRA's three small firm representatives to the Board of Governors serve as ex-officio members of the SFAC. In addition, all SFAC members are affiliated with firms employing no more than 150 registered representatives and are senior executives at their firm.

Small Firm Advisory Committee Members

Erin Baskett (Ex-Officio)
Sine Qua Non Capital LLC

B. David Buehler
Triton Pacific Securities, LLC
949-429-8507

Robert Hamman
First Asset Financial Inc.
(785) 825-5050

Preston Haxo (Chair)
Mondeum Capital, LLC
(305) 921-9412

Paula Heffron
Stonecrest Capital Markets
919-931-7730

Steven Jafarzadeh
Stonehaven, LLC
(917) 349-7050

Andrew Kurian
Hedgebay Securities
203-227-9588

Karolina Pajdak
R. Seelaus & Co., Inc.
908-273-3011

Janice Parise
Winterflood Securities US Corp.
New York, NY
(212) 751-4422

Jennifer Szaro (Ex-Officio)
XML Securities, LLC
Bethesda, MD

Wendy Lanton (Ex-Officio)
Herold & Lantern Investments, Inc.
Melville, NY

Emily Verlinde
Open to Public Investing, Inc. 
347-668-8807