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Joseph R. V. Romano, president of Evanston-based investment firm Romano Brothers & Co. was recently appointed to serve as the Midwest Regional representative on the Small Firm Advisory Board (SFAB) of the Financial Industry Regulatory Authority (FINRA).
The SFAB was established in 1998 by the FINRA Board of Governors to ensure that small firms are apprised of and have reviewed major regulatory initiatives of particular interest and concern to small firms (less than 150 registered representatives) before they are considered by the FINRA Board. FINRA is the largest nongovernmental regulator for all securities firms doing business in the United States.