Regulatory Alerts2023-09-11 | Election Notice – 9/11/23Added · Updated
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
FINRA invites nominations for the Small Firm Advisory Committee (SFAC) election by requiring candidates to submit a nomination and profile form to CorporateSecretary@finra.org. Eligibility is restricted to senior members of small firms with main offices and primary places of business located in the South or Midwest Regions. The document specifies the geographic districts covered by these regions and mandates that candidates provide a biography and personal statement of no more than 500 words for public display on FINRA's website.
ATTACHMENT A 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. An electronic version of this form is also available at www.finra.org/notices/SFACElection/091123. Current Registration Name: Individual CRD#: (As you would like it to appear on official correspondence) Firm Name: Firm CRD#: FINRA District No.: Number of Registered Reps. at Firm: Title/Primary Responsibility: Address Street Address: Suite/Floor: City: State: Email: Phone: SFAC Seat Sought y South Region – Alabama, Arkansas, Florida, Georgia, Louisiana, Mississippi, North Carolina, Oklahoma, Puerto Rico, Panama, South Carolina, Tennessee, Texas, and the Virgin Islands (Districts 5, 6 and 7) y Midwest Region – Illinois, Indiana, Iowa, Kansas, Kentucky, Michigan, Minnesota, Missouri, Nebraska, North Dakota, Ohio, South Dakota and Wisconsin (Districts 4 and 8) Eligibility Criteria (must meet all three) 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 South or Midwest Region. y Your primary place of business is in the same region as the firm’s main office. 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 500 words.)
Candidate Profile Form—SFAC Election Candidate Name: Title: Firm: Candidate Biography and Personal Statement Optional Links: Link to personal website, resume or CV: Link to YouTube video: