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Election Notice – 10/20/17

Notice of SFAB Election and Ballots

Published Date:
Ballot Due Date: November 20, 2017

Executive Summary

The purpose of this Notice is to distribute to eligible FINRA small firm members the ballots to elect one North Region and one South Region representative to the Small Firm Advisory Board (SFAB). FINRA small firm members in the North and South Regions as of the close of business on October 19, 2017, are eligible to vote in these elections. All eligible firms are urged to vote in the election of these SFAB members.

The Midwest Region seat is uncontested. Therefore, FINRA will not distribute ballots for the Midwest Region seat.

Ballots are due by Monday, November 20, 2017. The newly elected South region member will take office January 1, 2018. The North Region Representative, who will be elected to fill a partial term, will take office immediately upon election.

Attachment A lists the candidates certified by the Corporate Secretary of FINRA as satisfying the requirements for the three regional SFAB 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 – Corporate Governance and Deputy Corporate Secretary, at (202) 728-8949; or
  • Chip Jones, Senior Vice President, Member Relations, at (240) 386-4797.