Executive Summary

The purpose of this Election Notice is to notify FINRA small firm members of the distribution of ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members¹ in the New York Region as of the close of business on Friday, October 21, 2022, are eligible to vote in these elections.

Ballots are due by Wednesday, November 23, 2022.

The newly elected SFAC member will take office on January 1, 2023.