FINRA Small Firm Advisory Board Election

FINRA began accepting applications to appear on the ballot to fill two open seats on the Small Firm Advisory Board (SFAB), one in each of the following regions:

  • Northern Region (FINRA Districts 9 & 11)
  • Western Region (FINRA Districts 1, 2 & 3)

The SFAB meets 5 times a year, mainly in Washington, D.C. and members are expected to attend these meetings in person. Those elected with served a three year term.

Eligible candidates for these seats are any senior member of a small firm whose primary place of business and whose firm has its main office (as indicated in FINRA records) in the North Region or West Region is eligible to have his or her name placed on the SFAB ballot for the appropriate region. Senior members of firms include owners, chief executive officers, presidents, chief compliance officers, chief operating officers, the firm’s FINOP or individuals of comparable status. There may be only one candidate per firm on each ballot.

Those interested in appearing on the ballot must submit a candidate profile form to the Corporate Secretary of FINRA no later than Friday, October 2, 2015.

Click here for further information on the Small Firm Advisory Board and the nomination process.

We encourage FSI members to apply for open FINRA committee positions in their districts. This is a great opportunity to get engaged with FINRA and make your voice heard.


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