FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees.1 Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also appointed several individuals to fill additional vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and appointed to the SFAC, Regional Committees and NAC.
Questions concerning this Notice may be directed to Jennifer Piorko Mitchell, Vice President and Deputy Corporate Secretary, at (202) 728-8949 or by email.
Small Firm Advisory Committee
FINRA’s small firms elected the following individuals as the North Region and West Region Representatives on the SFAC:
|North Region Representative||
|West Region Representative||
The FINRA Board also appointed the following individuals to at-large seats on the SFAC:
The new SFAC members will serve three-year terms beginning on January 1, 2022.
The individuals below were elected to serve three-year terms on FINRA’s Regional Committees beginning January 1, 2022. The seats noted with an asterisk (*) were uncontested races. For the open seats identified below, FINRA is seeking individuals to fill these positions. Qualified individuals interested in serving on these Regional Committees should complete the indication of interest form on FINRA’s website or email the Office of the Corporate Secretary to be considered for these vacancies.
|West Region Committee|
|District 1 Representatives*||
|District 2 Representatives*||
|District 3 Representatives||
|Midwest Region Committee|
|District 4 Representatives*||
|District 8 Representatives||
|North Region Committee|
|District 9 Representatives||
|District 11 Representatives*||
|New York Region Committee|
|District 10 Representatives*||
|South Region Committee|
|District 5 Representatives*||
|District 6 Representatives*||Two Seats Open – No Candidates Self-Nominated – Appointees Being Identified6|
|District 7 Representatives||
National Adjudicatory Council
There were no seats on the NAC open for election in 2021. For appointed seats, the FINRA Board appointed the following individuals as new NAC members for four-year terms beginning January 1, 2022:
|Appointed Non-Industry Member Seats||
|Appointed At-Large Member Seat||
- There were no seats on the National Adjudicatory Council (NAC) open for election in 2021.
- Mr. Serrano is currently serving a partial one-year term on the SFAC and was reappointed to serve a full three-year term beginning on January 1, 2022.
- Individuals are being identified for appointment to the Regional Committee seats for which no individuals self-nominated.
- See id.
- See id.
- See id.
This news item was originally published by the Financial Industry Regulatory Authority (FINRA US). For more information, see the Source Link.