FINRA Regulatory Notice Seeks Regional Committee Candidates

The news: In a FINRA regulatory notice dated October 20, 2026, the self-regulatory organization said it is looking for candidates to fill vacancies on its Regional Committees. Five regions have openings: the South and West each have six, while the Midwest, North and New York each have four. Added up, that is 24 seats up for election.

Eligible people who want to serve must send a Candidate Profile Form to FINRA’s Corporate Secretary. The deadline is November 19, 2026, which gives interested candidates about a month from the date of the notice.

By the numbers:

• 6 vacancies each in the South and West regions
• 4 vacancies each in the Midwest, North and New York regions
• 24 total seats across the five regions
• November 19, 2026: deadline to submit the Candidate Profile Form

Why it matters: Unlike a rule proposal or an enforcement action, an election notice does not change any firm’s obligations. It does show how FINRA fills its regional bodies and who can step forward to do so. The South and West have the most openings, so those regions will see the largest turnover if the seats are contested. Professionals at member firms who are interested in having a voice in how FINRA operates in their region should check the notice for the eligibility criteria. Compliance officers and firm leaders may want to circulate it internally before the filing window closes.

The big picture: Notices like this are routine, but they are part of FINRA’s governance. The process depends on eligible individuals volunteering and submitting their profile forms through a single point of contact, the Corporate Secretary. A short window and a formal paperwork requirement mean candidates who wait until the last week risk missing the cutoff.

What’s next: The next date to watch is November 19, 2026, when candidate submissions close. Eligibility details and instructions for the Candidate Profile Form are in the full notice on FINRA’s website. Regbi Digest will follow any further FINRA announcements on the election timeline.