Mission
FINRA REGULATION IS DEDICATED TO INVESTOR PROTECTION AND MARKET INTEGRITY THROUGH EFFECTIVE AND EFFICIENT REGULATION OF THE SECURITIES INDUSTRY.
Public Charity
FINRA REGULATION INC
FINRA REGULATION INC is a Public Charity headquartered in ROCKVILLE, MD. Financial data from the 2024 filing: $1.4B revenue, $872.2M expenses, $94.1M total assets. IRS filings disclose 65 grants awarded by this foundation, totaling roughly $22.6M.
EIN: 521959501
ROCKVILLE, MD
Latest filing: 2024
Total Revenue$1.4B
Total Expenses$872.2M
Total Assets$94.1M
Grants Given65
Grant Total$22.6M
Filing Years2019–2024
Sample Grants Given
GENERAL SUPPORT
$5,800,910
General Support
$206,116
GENERAL SUPPORT
$60,000
GENERAL SUPPORT
$20,000
GENERAL SUPPORT
$15,000
Showing up to 5 of 65 total records — full history available with membership.
Officers & Directors
REGULATORY POLICY COMMITTEE
Deborah Bailey
REGULATORY POLICY COMMITTEE, EX OFFICIO
Eric W Noll
Regulatory Policy Committee
Ethiopis Tafara
EXECUTIVE VICE PRESIDENT
Gregory Ruppert
REGULATORY POLICY COMMITTEE
James T Crowley
Regulatory Policy Committee - thru 9/11/24
John B Ehnes
Officer compensation and complete director data available with membership.
Top Grant Purposes
Financial Trends
| Year | Revenue | Expenses | Assets |
|---|---|---|---|
| 2024 | $1.4B | $872.2M | $94.1M |
| 2023 | $1.1B | $781.4M | $60.4M |
| 2022 | $1.0B | $693.5M | $31.0M |
| 2020 | $964.5M | $634.6M | $68.2M |
| 2019 | $805.4M | $665.1M | $31.4M |
Between 2019 and 2024, reported annual revenue grew from $805.4M to $1.4B (+68%), with total assets most recently reported at $94.1M.
Interactive year-over-year charts and full filing details available with membership.
Grant Geography
Grants from this foundation were reported to recipients in CA, CO, DC, DE, FL, IL, and 4 other states.
CACODCDEFLILMAMDNYOH
Full geographic grant map with state-by-state breakdown available with membership.