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.
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 website 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 3,000 characters, approximately 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 New York Region. Candidate Nomination and Profile Form—SFAC Election (New York Region) 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 (New York Region) (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: