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Election Notice – 10/14/15

Notice of SFAB Election and Ballots

Ballot Due Date: November 13, 2015

Executive Summary

The purpose of this Notice is to distribute to eligible FINRA small firm members the ballots to elect a North Region member and a West Region member of the Small Firm Advisory Board (SFAB). FINRA small firm members in the North and West Regions as of the close of business on October 13, 2015, are eligible to vote in these elections.

Ballots are due by Friday, November 13, 2015, and the newly elected North and West Region SFAB members will take office in January 2016. Eligible firms from the North and West Regions are urged to vote in the election of the SFAB member.

Attachment A lists the candidates certified by the Corporate Secretary of FINRA as satisfying the requirements for each regional SFAB seat. Additional information about each candidate is available at

Questions regarding this Election Notice may be directed to:

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