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Election Notice – 9/7/16

FINRA Small Firm Advisory Board Election

Nomination Deadline: October 7, 2016

Executive Summary

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: a New York Region seat (District 10).

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 profile form to the Corporate Secretary of FINRA no later than Friday, October 7, 2016. The candidate profile form is available online at and as an attachment to this Notice.

On or about Wednesday, October 19, 2016, FINRA will mail the official Election Notice and ballots to the executive representatives of small firms in the New York Region to elect its regional representative on the SFAB. Voting will conclude in November 2016 and new members will take office in January 2017.

Questions regarding this Election Notice may be directed to:

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