Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election

Summary

The purpose of this Notice is to inform FINRA small firm members of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, representing the North and West Regions.

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

Any eligible candidate wishing to have his or her name added to the ballot must submit the relevant information via the candidate profile form to the Corporate Secretary of FINRA no later than Friday, September 28, 2018. The candidate profile form is available online at www.finra.org/notices/SFACElection/082918 and as an attachment to this Notice.

On or about Tuesday, October 16, 2018, FINRA will mail the official Election Notice and ballots to the executive representatives of small firms in the North and West Regions. Voting will conclude in November 2018. The newly elected North and West Region representatives will take office in January 2019.

Questions regarding this Election Notice may be directed to:

• Jennifer Piorko Mitchell, Vice President – Corporate Governance and Deputy Corporate Secretary, at (202) 728-8949; or
• Chip Jones, Senior Vice President, Member Relations and Education, at (240) 386-4797.