FINRA Regional Committees

Call for Candidates: SFAC and Regional Committee Elections
This fall, firms will elect representatives to fill seats on FINRA’s Small Firm Advisory Committee and all of FINRA’s Regional Committees. Are you interesting in lending your experience and expertise, and engaging with FINRA on issues that impact our industry? We encourage you to read the SFAC and Regional Committee Election Notices and consider becoming a candidate. (SFAC and Regional Committee candidate profile forms are due to the Office of the Corporate Secretary by Thurs., Oct. 3.)

The Regional committees advise FINRA on industry trends of regulatory concern, provide input on the impact of FINRA’s regulatory programs and communicate high-level information regarding meeting discussions to their constituents. Additionally, committee members serve as panelists in FINRA disciplinary proceedings. The committees are organized into the following regions: West (Districts 1, 2 and 3); Midwest (Districts 4 and 8); South (Districts 5, 6 and 7); North (Districts 9 and 11); and New York (District 10).

Regional Committee members are interested in your comments and questions regarding FINRA’s regulatory programs. You may email your comments and questions directly to a committee member in your region (or district) by clicking a committee member’s name. View a list of our district office locations.

2024 Committee Rosters

• West Region
• Mid-West Region
• North Region
• New York Region
• South Region

West Region

Mid-West Region

North Region

New York Region

South Region