2021 Advisory Committee Overview and Engagement Notice

On March 26, the Financial Industry Regulatory Authority (FINRA) published a notice encouraging employees of member firms and other interested persons to apply for upcoming vacancies on FINRA’s advisory and ad hoc committees. The Notice provides a general description of the responsibilities of each of FINRA’s advisory committees and some of FINRA’s ad hoc committees.

While the FINRA Board appoints advisory committee members and FINRA departments create the ad hoc committees, 50 percent of members of the Small Firm Advisory Committee (SFAC) are elected. The Notice advises interested persons to reference FINRA’s forthcoming Election Notice, which will provide an overview of the annual election process.

FINRA Special Notice