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SWS Chief Operating and Chief Compliance Officer wins a seat to the FINRA District 10 Regional Committee

SWS Congratulates DiAnne Calabrisotto, Chief Operating and Chief Compliance Officer on winning a seat via a FINRA Member-Firm Election to the FINRA District 10 (New York) Regional Committee as a Direct Representative. She will serve a 3-year term beginning January 1, 2024. The Regional committees advise FINRA on industry trends of regulatory concerns, 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).

FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments


Regional Committees 

For FINRA’s Regional Committee elections, all districts, except the New York Region/District 10, had two seats up for election (the New York Region/District 10 had four vacancies). The individuals listed below were either appointed to seats for which no candidates opted to run or were elected. They will serve three-year terms on the Regional Committees beginning January 1, 2024. In addition, there were appointments for existing vacancies with shorter terms remaining, as specified below.

One vacancy remains for District 11 and FINRA is seeking an individual to fill this position. Qualified individuals interested in this seat should complete the indication of interest form on FINRA’s website or email the Office of the Corporate Secretary to be considered. 



Read the Full Article here.

Election Notice – 12/22/2023



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