FINRA Small Firm Advisory Board Election

The purpose of this Notice is to inform FINRA small firm members of the upcoming Small Firm Advisory Board (SFAB) election. One seat on the SFAB is up for election: a New York Region seat.

The SFAB provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firms, and meets five times a year primarily in Washington, D.C., prior to each FINRA Board of Governors meeting. SFAB members are expected to attend SFAB meetings in person, and may be requested to attend certain regional, district and other FINRA meetings. Potential candidates should ensure that their other commitments will allow for their in-person attendance at all SFAB meetings.

Any eligible candidate wishing to have their name added to the ballot must submit the relevant information via the candidate profile form to FINRA’s Corporate Secretary no later than Friday, October 4, 2013. The candidate profile form is available online at www.finra.org/notices/SFABElection/090413 and as an attachment to this Notice.

On or about Wednesday, October 16, 2013, FINRA will mail the official Election Notice and ballots to the executive representatives of small firms in the New York Region to elect its regional representative on the SFAB. Voting will conclude in November 2013 and new members will take office in January 2014.

Questions regarding this Election Notice may be directed to:

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