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Election Notice - 9/3/10

FINRA Small Firm Advisory Board Election

Published Date:

The purpose of this Notice is to inform FINRA Small Firm members of the upcoming Small Firm Advisory Board (SFAB) election. One seat on the SFAB is up for election: the New York Region seat.

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 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 their name added to the ballot must submit the relevant information via a candidate profile form to the Corporate Secretary of FINRA no later than Friday, October 1, 2010. The candidate profile form is available online at as a "Related Link" and as an attachment to this Notice.

On or about Friday, October 21, 2010, FINRA will mail the official Election Notice and ballots to the executive representatives of small firms in the New York Region to elect their regional representative on the SFAB. Voting will conclude in November 2010 and new members will take office in January 2011.

Questions regarding this Notice may be directed to:

  • Marcia E. Asquith, Senior Vice President and Corporate Secretary, at (202) 728-8949;
  • T. Grant Callery, Executive Vice President and General Counsel (Corporate), at (202) 728-8285; or
  • Chip Jones, Senior Vice President, Member Relations, at (240) 386-4797.