2015 Small Firm Advisory Board Election

On October 14, 2015, FINRA announced the Small Firm Advisory Board (SFAB) election for the North Region and West Region seats. Eligible small firms in the North and West Regions were mailed a copy of the Notice and a ballot to vote in this election. Ballots must be returned no later than November 13, 2015, and the newly elected SFAB member will take office in January 2016.

Each candidate was provided an opportunity to submit a biography and statement. FINRA has posted the information from the candidates to help firms learn more about each candidate in their region.


Firms may vote for one candidate for the region corresponding to the district to which they are assigned in the Central Registration Depository. To review the candidates, please follow the link below.

North Region: Connecticut, Delaware, the District of Columbia, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City), Pennsylvania, Rhode Island, Vermont, Virginia and West Virginia (Districts 9 and 11)

West Region: Alaska, Arizona, California, Colorado, Hawaii, Idaho, Montana, Nevada, New Mexico, Oregon, Utah, Washington, Wyoming and the former U.S. Trust Territories (Districts 1, 2 and 3)