FINRA Announces Regional Committee, SFAC and NAC Election Results and Appointments
FINRA recently held annual elections to fill vacancies on its Regional Committees, Small Firm Advisory Committee (SFAC) and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also selected individuals to fill several appointed seats on the SFAC and NAC. This Notice lists the individuals recently elected and appointed to the Regional Committees, SFAC and NAC. Questions concerning this Notice may be directed to Jennifer Piorko Mitchell, Vice President and Deputy Corporate Secretary, by email or (202) 728-8949.
The individuals below were elected or appointed to serve three-year terms on FINRA’s Regional Committees beginning January 1, 2020. The seats noted with an asterisk (*) were either uncontested races or were appointed by FINRA, as there were no candidates for these seats.
|West Region Committee|
|District 1 Representatives*||
|District 2 Representatives*||
|District 3 Representatives*||
|Midwest Region Committee|
|District 4 Representatives||
|District 8 Representatives*||
|South Region Committee|
|District 5 Representatives*||
|District 6 Representatives*||
|District 7 Representatives||
|New York Region Committee|
|District 10 Representatives*||
Small Firm Advisory Committee
FINRA’s small firms elected the following individual to fill the New York Region seat on the SFAC:
|New York Region Representative||
The FINRA Board also appointed the following individuals to at-large seats on the SFAC:
The new SFAC members will serve three-year terms beginning on January 1, 2020.
National Adjudicatory Council
The nominees for the large and mid-size seats on the NAC were uncontested:
|Large Firm Member Seat2||
|Mid-Size Member Seat3||
In addition, there are two new appointed NAC members:
|Appointed At-Large Industry Seat||
|Appointed Non-Industry Member Seat||
Each of the new NAC members were appointed by the Board to four-year terms beginning January 1, 2020.
- Ms. Ostergaard was appointed to complete a partial, one-year term concluding on December 31, 2021.
- FINRA nominees for the Large Firm and Mid-Size Firm NAC Member seats were uncontested. Therefore, FINRA did not mail ballots and the FINRA Board appointed the nominees to serve four-year terms on the NAC.
- See Id.