One seat on the SFAB is up for grabs - the New York Region seat.  Eligible candidates wishing to have their names added to the ballot must submit the relevant information via a candidate profile form to the Corporate Secretary of FINRA no later than Friday, 10/1/10.  On or about Friday, 10/21/10, FINRA will mail the official Election Notice and ballots to the executive reps of small firms in the New York Region to elect their regional representative on the SFAB.

The New York Region consists of New York, including the counties of Nassau and Suffolk, and the 5 boroughs of NYC - i.e., District 10.  The successful candidate will be elected to serve a 3-year term.

    Role of the SFAB.   It provides guidance to FINRA staff, particularly re: the potential impact of proposed regulatory initiatives on FINRA’s small firms.  To that end, it meets 5 times a year in Washington, DC, prior to each FINRA Board of Governors meeting.  SFAB members are expected to attend SFAB meetings in person, and may be requested to attend certain regional, district and other FINRA meetings.

For further details, and to access the "Candidate Profile Form," click onto:  [ FINRA Election Notice, 9/3 ]