Notice of SFAB Election and Ballots

The purpose of this Notice is to distribute to eligible FINRA small firms¹ the ballots to elect two regional members of the Small Firm Advisory Board (SFAB). Two seats on the SFAB are up for election, the Midwest and the South Region seats.

A small firm is defined as a member firm that employs at least one and no more than 150 registered persons. See Article I (ww) of the FINRA By-Laws.