David A. Greene, the former head of the Financial Industry Regulatory Authority in Los Angeles, replaces Brian A. Stern, who will be leaving the company at the end of the year.
Nomination Deadline: October 4, 2019
The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. One seat on the SFAC is up for election, representing the New York region.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firm members. The SFAC meets four times a year, primarily in Washington, DC, prior to FINRA Board of Governors (FINRA Board) meetings. Potential candidates should ensure that their other commitments will allow for their participation in all SFAC meetings.
Any eligible candidate wishing to have his or her name included on the ballot must submit the relevant information via the candidate profile form to the Corporate Secretary of FINRA by Friday, October 4, 2019. The candidate profile form is available online.