Election Notice - 9/5/12

FINRA Small Firm Advisory Board Election

Nomination Deadline: October 5, 2012

The purpose of this Notice is to inform FINRA small firm members of the upcoming Small Firm Advisory Board (SFAB) election. Two seats on the SFAB are up for election: the North and West Region seats.

The SFAB provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firms, and meets five times a year primarily in Washington, DC, prior to each FINRA Board of Governors meeting. SFAB members are expected to attend SFAB meetings in person, and may be requested to attend certain regional, district and other FINRA meetings. Potential candidates should ensure that their other commitments will allow for their in-person attendance at all SFAB meetings.

Any eligible candidate wishing to have his or her name added to the ballot must submit the relevant information via the Candidate Nomination and Profile Form to FINRA’s Corporate Secretary no later than Friday, October 5, 2012. The candidate profile form is available online at www.finra.org/notices/SFABElection/090512 and as an attachment to this Notice.

On or about Wednesday, October 17, 2012, FINRA will mail the official Election Notice and ballots to the executive representatives of small firms in the North and West Regions to elect their regional representatives on the SFAB. Voting will conclude in November 2012 and new members will take office in January 2013.

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) 728-8949; or
  • Chip Jones, Senior Vice President, Member Relations, at (240) 386-4797.