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Stories of Interest
- Deutsche Bank ‘Beyond Repair’ as Trading Drops - Autonomous Research
- Guggenheim Partners CEO Might Step Down
- Wachovia Customer Sues Wells Fargo Over FundSource Losses - Bill Singer
- Credit Downgrade for Wells Fargo Due to Fake Account Scandal
- CFTC Commissioner Quintenz Named Sponsor of the Technology Advisory Committee
- Harbour and Geneos Customers Win FINRA Arbitration Against Stockbroker - Bill Singer
- Equifax Suffered a Hack Almost Five Months Earlier Than the Date It Disclosed
- The World’s Biggest Wealth Fund Hits $1 Trillion
- At Jefferies, Like Wall Street, Trading Cedes to Banking
- Ex-SAC Trader Who Pleaded Guilty to Insider Trading Just Remembered He’s Innocent
- JPMorgan Turns to Amazon for Retail 'Customer Experience'
- Goldman Sachs Names Ken Hitchner as New Chairman for Asia Pacific
- Judge All but Tosses SEC Case Against ‘Rogue’ Trader And Ex-FBI Informant Guy Gentile
- 'Boys are #1 Among NFL's Most Valuable Teams
- Fake Tax Returns - Your Next Worry After the Equifax Breach
- FINRA DR Recruiting Arbitrators, Mediators at Congressional Black Caucus Conference
- JPMORGAN: Here's who we think will replace Warren Buffett at Berkshire Hathaway
- Mueller to Search Facebook for Russia-Linked Accounts
- Mark Gomes, Market Analyst and Trade Scalper Settles with SEC
- Equifax Waives Credit Lock Fees For Consumers, Amid Criticism
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NEWSLETTERS & ALERTS
FINRA Elections – A Call for Nominations
FINRA issued 2 Election Notices announcing the need to fill positions or vacancies on: (i) the FINRA Small Firm Advisory Board (SFAB); and, (ii) FINRA District Committees. Nominations for all seats listed below must be submitted to FINRA by 10/9/17.
(i) FINRA SMALL FIRM ADVISORY BOARD. The SFAB comprises 10 members: (i) 5 regional members elected by small firms in the 5 FINRA regions; and, (ii) 5 at-large members appointed by FINRA. In this election, there are:
- 2 full-term seats up for election: a South Region seat and a Midwest Region seat.
- 1 partial-term vacancy for the North Region Representative seat.
The SFAB provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firms. The SFAB meets 5 times a year, primarily 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. Potential candidates should ensure that their other commitments will allow for their in-person attendance at all SFAB meetings.
For further details on the SFAB as well as the nomination process, click on FINRA SFAB Election Notice.
(ii) FINRA DISTRICT COMMITTEES. District Committees from districts 1, 2, 3, 4, 5, 6, 7, 8, 9 and 11 comprise three small, one mid-size and three large firm representatives who are elected by firms of the same size. The District 10 Committee comprises six small, two mid-size and six large firm representatives who are elected by member firms of the same size.
- The District Committees for Districts 1, 2, 3, 4, 5, 6, 7, 8, 9 and 11 each have 3 full-term vacancies to fill: one representing a small firm seat, one representing a mid-size firm seat and one representing a large firm seat.
- District 10 has 5 full-term vacancies to fill: 2 representing small firm seats, one representing a mid-size firm seat and 2 representing large firm seats.
- Individuals elected to fill the above vacancies will be elected to 3-year terms expiring 12/31/20.
- There are 3 partial-term vacancies to replace individuals who resigned prior to the conclusion of his or her term: one small firm representative for District 1, one large firm representative for District 2 and one large firm representative for District 10.
- The individuals elected to fill these partial-term vacancies will serve until 12/31/18.
For further details on the FINRA District Committees as well as the nomination process, click on FINRA District Committees Election Notice.