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
Before you apply to Finra Regulation Inc
Who to contact, what to include, deadlines, typical grant size and geographic focus are available with membership.
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.