FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Revised Last Voting Date: September 14, 1998
(Note: voting by NASD member Executive Representatives only through mail ballots distributed with print version of this Notice.)
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers,
FINRA Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council
Executive Summary
FINRA’s annual Regional Committee, Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC) elections concluded in November. Additionally, the FINRA Board of Governors (FINRA Board) recently appointed individuals to fill a number of additional vacancies on the NAC and SFAC. This Notice lists the individuals recently elected and appointed to the SFAC, NAC and
April 2014 Supplement to the Security Futures Risk Disclosure Statement
FINRA Announces Results of SFAB, NAC and District Committee Elections
FINRA Announces Results of SFAB, NAC and District Committee Elections
Chairwoman Waters, Ranking Member McHenry and Members of the Committee:
Introduction
On behalf of the Financial Industry Regulatory Authority, or FINRA, I want to thank you for the opportunity to appear today to discuss the important role that our organization plays in the regulation of broker-dealers and to share our response to the January market events related to trading in GameStop and
Comment Period Expired: March 31, 2017
Nominees for the District Committees and District Nominating Committees
