FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments

Executive Summary

FINRA recently concluded elections to fill vacancies on the Small Firm Advisory Board (SFAB) and district committees. In addition, FINRA also made a number of appointments to the SFAB, the district committees and the National Adjudicatory Council (NAC). This Notice lists the individuals elected or appointed to fill vacant seats on the SFAB, NAC and District Committees for terms beginning January 1, 2017.

Questions concerning this Election Notice may be directed to:

• Marcia Asquith, Senior Vice President and Corporate Secretary, at (202) 728-8949;
• Jennifer Piorko Mitchell, Deputy Corporate Secretary, at (202) 724-8949; or
• Chip Jones, Senior Vice President, Member Relations and Education, at (240) 386-4797.