Regulatory Alerts2025-09-04 | Election Notice – 9/4/25Added · Updated
Call for Candidates for Upcoming FINRA Regional Committee Elections
FINRA invites qualified registered representatives to apply for seats on its Regional Committees across five regions and ten districts. Candidates must be associated with a FINRA member firm headquartered in the district they seek to represent and hold the title of branch manager, principal, or corporate officer. Applicants are required to submit a completed form with personal details and a biography to CorporateSecretary@finra.org, with the second page of the submission made public on FINRA's website.
Regional Committee Seat Sought Select only one of the seats listed below. (Qualified registered representatives are eligible to represent the region/district where their firm is headquartered.) Name: Individual CRD#: (As you would like it to appear on official correspondence) Current Registration Title Firm Name: Firm CRD#: Address Street Address: Suite/Floor: City: State: Email: Phone: INSTRUCTIONS FOR PAGE 2 The information on the following page will be displayed on FINRA’s Regional Committee election web page as submitted. Please carefully review the information before submission. Provide a brief biography or summary of your qualifications to serve on the Regional Committee. You may want to consider including your employment experience, service on other industry-related boards and committees, etc. Provide a statement of why you are running for a seat on the Regional Committee and why firms should vote for you. (No more than 3,000 characters - approximately 500 words.) Eligibility Criteria (must meet all criteria) y Associated with a FINRA member headquartered in the district they are seeking to represent on the Regional Committee y Registered in the capacity of a branch manager or principal or denoted as a corporate officer of the FINRA member Candidate Nomination and Profile Form—Regional Committee Election Please complete all sections on both pages and email this document to CorporateSecretary@finra.org. Please note the second page will be made available publicly on our website. North Region Committee: y District 9 Representative y District 11 Representative South Region Committee: y District 5 Representative y District 6 Representative y District 7 Representative West Region Committee: y District 1 Representative y District 2 Representative y District 3 Representative Midwest Region Committee: y District 4 Representative y District 8 Representative New York Region Committee: y District 10 Representative
Candidate Profile Form—Regional Committee Election (this page will be displayed on finra.org) Candidate Name: Title: Firm: Candidate Biography and Personal Statement (3,000 character limit - approximately 500 words) Optional Link: LinkedIn Profile: