Regulatory Alerts2024-09-03 | Election Notice – 9/3/24Added · Updated
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
FINRA invites nominations for Small Firm Advisory Committee seats in the North and West Regions. Candidates must be senior members of small firms with main offices in the specified regions and must submit a completed form including a biography and personal statement to CorporateSecretary@finra.org. The submitted candidate profile will be published publicly on FINRA's website.
SFAC Seat Sought Select only one of the seats listed below. y North Region: Connecticut, Delaware, the District of Columbia, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City), Pennsylvania, Rhode Island, Vermont, Virginia and West Virginia (Districts 9 and 11) y West Region: Alaska, Arizona, California, Colorado, Hawaii, Idaho, Montana, Nevada, New Mexico, Oregon, Utah, Washington, Wyoming and the former U.S. Trust Territories (Districts 1, 2 and 3) 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 election wesite as submitted. Please carefully review the information before submission. Provide a brief biography or summary of your qualifications to serve as an SFAC member. 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 an SFAC seat and why firms should vote for you. (No more than 500 words.) Eligibility Criteria (must meet all criteria) y Senior member of a small firm. (Senior members include owners, chief executive officers, presidents, chief compliance officers, chief operating officers, the firm’s FINOP or individuals of comparable status.) y Firm’s main office is in the North or West Region. Candidate Nomination and Profile Form—SFAC 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.
Candidate Profile Form—SFAC Election (this page will be displayed on finra.org) Candidate Name: Title: Firm: Candidate Biography and Personal Statement (500 word limit) Optional Links: Link to personal website, resume or CV: Link to YouTube video: