Regulatory Alerts2025-09-04 | Election Notice – 9/4/25Added · Updated
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
FINRA invites senior members of small firms with main offices in the New York Region to submit candidate nomination and profile forms for the Small Firm Advisory Committee election. Eligible candidates must hold senior positions such as owner, CEO, president, or chief compliance officer. Applicants are required to email the completed two-page document to CorporateSecretary@finra.org, ensuring the second page containing their biography and personal statement does not exceed 3,000 characters.
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