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Election Notice – 10/16/18

Notice of SFAC Election and Ballots

Published Date:
Ballot Due Date: November 15, 2018

Executive Summary

The purpose of this Election Notice is notify FINRA small firm members of the distribution of ballots to elect one North Region and one West Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members in the North and West Regions as of the close of business on October 15, 2018, are eligible to vote in these elections. All eligible firms are urged to vote in the election of these SFAC members.

Ballots are due by Thursday, November 15, 2018.

The newly elected SFAC members will take office on January 1, 2019. Listed below are the candidates certified by FINRA’s Corporate Secretary as satisfying the requirements for the two regional SFAC seats up for election. Additional information about each candidate is available at

Questions regarding this Election Notice may be directed to:

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