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Candidates for Finra board want greater focus on regulatory pain of small firms

August 23, 2016

 

 


Candidates for Finra board want greater focus on regulatory pain of small firms

Four nominees were announced Friday after qualifying for the ballot

Aug 22, 2016 @ 1:57 pm | By Mark Schoeff Jr. | Investment News

Four candidates for the small-firm seat on the board of governors of the Financial Industry Regulatory Authority Inc. want to make the broker-dealer regulator responsive to the compliance pain their sector is feeling.

The nominees — Mark Howells, CEO of M.S. Howells & Co.; Stephen Kohn, president and CEO of Stephen A. Kohn & Associates; Bob Muh, CEO of Sutter Securities Inc.; and incumbent board member Robert Keenan, CEO ofSt. Bernard Financial Services Inc. — were announced Friday after qualifying for the ballot.

There will be no election for the open large-firm seat. Mary Mack, president and head of Wells Fargo Advisors, had been nominated but “withdrew as a candidate after a change in job responsibilities,” Finra said in the election notice.

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Matthew C. Strife
Blue Vault Services
April 11, 2016

Blue Vault's services are without question great resources for the review of the nontraded products offered.