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EIN 52-1959501

Financial Industry Regulatory Authority (FINRA)

IRS 501(c) type
501(c)(6)
Num. employees
0
City
Rockville
State
Maryland
Year formed
1996
Most recent tax filings
2022-12-01
NTEE code, primary
W20: Government and Public Administration
Description
In the United States, the Financial Industry Regulatory Authority (FINRA) is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers (NASD) and the member regulation, enforcement and arbitration operations of the New York Stock Exchange. It is a non-governmental organization that regulates member brokerage firms and exchange markets. The government agency which acts as the ultimate regulator of the securities industry, including FINRA, is the Securities and Exchange Commission.
Related structure
FINRA is a subordinate organization under Financial Industry Regulatory Authority (FINRA).
Also known as...
Finra Regulation
Total revenues
$1,039,482,542
2022
Total expenses
$693,480,189
2022
Total assets
$30,977,462
2022
Num. employees
0
2022

Grants made by FINRA

GranteeGrant descriptionAmount
FINRA Investor Education FoundationGeneral Support$5,860,131
American Online Giving FoundationGeneral Support$286,703
SIFMA Foundation for Investor EducationGeneral Support$50,000
...and 4 more grants made

Personnel at FINRA

NameTitleCompensation
Nathaniel StankardBoard Member
Robert W CookPresident and Chief Executive Officer$0
John BradySenior Vice President , Cyber Security and Chief Information Security Officer
Robert L.d. ColbyBoard Member$0
Jessica HopperExecutive Vice President and Head of Enforcement$0
...and 1 more key personnel

Financials for FINRA

RevenuesFYE 12/2022
Total grants, contributions, etc.$0
Program services$1,039,428,182
Investment income and dividends$0
Tax-exempt bond proceeds$0
Royalty revenue$54,360
Net rental income$0
Net gain from sale of non-inventory assets$0
Net income from fundraising events$0
Net income from gaming activities$0
Net income from sales of inventory$0
Miscellaneous revenues$0
Total revenues$1,039,482,542

Form 990s for FINRA

Fiscal year endingDate received by IRSFormPDF link
2022-122023-11-15990View PDF
2021-122022-11-14990View PDF
2020-122021-11-15990View PDF
2018-122020-06-09990View PDF
2017-122019-03-15990View PDF
...and 8 more Form 990s
Data update history
January 26, 2024
Updated personnel
Identified 12 new personnel
January 7, 2024
Posted financials
Added Form 990 for fiscal year 2022
July 15, 2023
Posted financials
Added Form 990 for fiscal year 2021
July 5, 2023
Updated personnel
Identified 1 new personnel
June 26, 2023
Posted financials
Added Form 990 for fiscal year 2020
Nonprofit Types
Grantmaking organizationsPublic sector nonprofitsBusiness and community development organizationsChapter / child organizations
Issues
Community improvementPublic policyBusiness and industry
Characteristics
No full-time employees
General information
Address
9509 Key W Ave
Rockville, MD 20850
Metro area
Washington-Arlington-Alexandria, DC-VA-MD-WV
County
Montgomery County, MD
Website URL
finra.org/ 
Phone
(301) 590-6500
Twitter profile
@finra_news 
IRS details
EIN
52-1959501
Fiscal year end
December
Taxreturn type
Form 990
Year formed
1996
Eligible to receive tax-deductible contributions (Pub 78)
No
Categorization
NTEE code, primary
W20: Government and Public Administration
NAICS code, primary
926110: Economic Development Corporations and Economic Program Organizations
Parent/child status
Subordinate organization
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