Election Notice - 10/19/11

Notice of FINRA Small Firm Advisory Board Election and Ballots

Published Date:

The purpose of this Notice is to distribute to eligible FINRA small firm members the ballots to elect Midwest and South Region members of the Small Firm Advisory Board (SFAB). Small firm members of FINRA in the Midwest and South Regions as of the close of business on October 18, 2011, are eligible to vote in this election.


Ballots are due by Friday, November 18, 2011, and the newly elected SFAB members will take office in January 2012. Firms are urged to vote in the election of SFAB members.

Attachment A lists the candidates certified by the Corporate Secretary of FINRA as satisfying requirements for each regional SFAB seat. Information about each candidate is available at www.finra.org/notices/SFABElection/101911.


Questions regarding this Election Notice may be directed to:

  • Marcia E. Asquith, Senior Vice President and Corporate Secretary, at (202) 728-8949;
  • T. Grant Callery, Executive Vice President and General Counsel (Corporate), at (202) 728-8285; or
  • Chip Jones, Senior Vice President, Member Relations, at (240) 386-4797.

View candidate profiles.