Finra Regulation Inc
Finra Regulation is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.
Finra Regulation Inc at a glance
In short: Finra Regulation Inc gave $6.1M across 8 grants in 2024 (avg $767K), mostly in Maryland. Source: 2024 IRS Form 990.
- Annual giving (2024)
- $6,138,026
- -17.0% vs 2023
- Grants made (2024)
- 8
- +14.3% vs 2023
- Average grant
- $767,253
- -27.4% vs 2023
- Median grant
- $17,500
- Total assets
- $94,061,520
- +55.7% vs 2023
- Primary geography
- Maryland (95% of itemized 2024 grant dollars)
- Latest 990 filing
- Form 990, 2024 View filing
Data from IRS Form 990, 2024; updated September 2026.
Who Finra Regulation Inc funds
How this funder distributes its grants
Top Recipients
Top 8 recipients in 2024
The largest 2024 recipient was Finra Investor Education Foundation Inc ($5.8M). Together the top 8 received $6.1M.
Grant Size Distribution
38 grants across all recorded years
The most common grant size was under $50K: 23 grants of 38 (61%).
Geographic Focus
Where this funder awards grants
Grant Distribution by State
Share of 2024 grant dollars across all 8 itemized grants.
Cities
How Finra Regulation Inc gives
- Giving grew 852% from 2021 to 2024. Method
From the foundation's IRS Form 990 filings. Methodology.
Giving History
Giving Over Time
Total grant dollars and number of grants per year
From 2020 to 2024, annual grant giving ranged from $644K (2021) to $7.4M (2023). In 2024 it made 8 grants totaling $6.1M.
Grants by year
Grant recipients and amounts by year
| Recipient | Purpose | Amount |
|---|---|---|
| Finra Investor Education Foundation Inc Rockville, MD | General Support | $5,800,910 |
| American Online Giving Foundation Inc Newark, DE | General Support | $206,116 |
| Sifma Foundation for Investor Education Inc New York, NY | General Support | $60,000 |
| Cancer League of Colorado Inc Englewood, CO | General Support | $20,000 |
| Jumpstart Coalition for Personal Financial Literacy Washington, DC | General Support | $15,000 |
| Sec Historical Society Washington, DC | General Support | $15,000 |
| Consumer Federation of America Washington, DC | General Support | $14,000 |
| Association of Securities & Exchange Commission Alumni Washington, DC | General Support | $7,000 |
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Financial History
Multi-year comparison from IRS filings
| Filing year | Total Assets | Revenue | Expenses | Grants paid | Grants |
|---|---|---|---|---|---|
| 2024 | $94,061,520 | $1,354,035,278 | $872,225,711 | $6,138,026 | 8 |
| 2023 | $60,411,994 | $1,118,127,486 | $781,443,382 | $7,397,415 | 7 |
| 2022 | $30,977,462 | $1,039,482,542 | $693,480,189 | $6,265,334 | 7 |
| 2021 | $51,636,831 | $1,138,654,783 | $668,437,890 | $644,488 | 7 |
| 2020 | $68,166,800 | $964,459,237 | $634,634,476 | $732,323 | 9 |
About Finra Regulation Inc
Based on IRS filings
Finra Regulation Inc is a public charity, based in Rockville, MD. IRS filing data is available from 2020 through 2024. As of 2024, the organization holds $94.1M in total assets. In 2024, it awarded 8 grants totaling $6.1M.
Leadership & Key People
Officers and directors from IRS filings
Finra Regulation Inc is led by Robert W Cook, President, CEO & Executive Officio since 2024 (on filings since 2020); none of the 20 officers listed in 2024 report compensation.
Officers on the 2024 filing
Robert W Cook
President, CEO & Executive Officio
President & CEO → President, CEO & Executive Officio, 2024
On filings since 2020
60 hrs/week
No compensation reported
Maureen Jensen
Chair & Regulatory Policy Committee
Regulatory Policy Committee → Chair & Regulatory Policy Committee -, 2022
Chair & Regulatory Policy Committee - → Chair & Regulatory Policy Committee, 2023
On filings since 2020
2 hrs/week
No compensation reported
Ethiopis Tafara
Regulatory Policy Committee
On filings since 2020
2 hrs/week
No compensation reported
John B Ehnes
Regulatory Policy Committee -
Regulatory Policy Committee → Regulatory Policy Committee -, 2024
On filings since 2020
2 hrs/week
No compensation reported
Marcia E Asquith
Executive Vice President, Board & External Relations
On filings since 2020
60 hrs/week
No compensation reported
Paige W Pierce
Regulatory Policy Committee -
Regulatory Policy Committee → Regulatory Policy Committee -, 2024
On filings since 2020
2 hrs/week
No compensation reported
Richard W Berry
Executive Vice President
Exective Vice President → Executive Vice President, 2021
On filings since 2020
60 hrs/week
No compensation reported
Robert L D Colby
Executive Vice President & Chief Legal Officer
On filings since 2020
60 hrs/week
No compensation reported
Timothy C Scheve
Regulatory Policy Committee -
Regulatory Policy Committee → Regulatory Policy Committee -, 2024
On filings since 2020
2 hrs/week
No compensation reported
Todd T Diganci
Executive Vice President & Cfao
On filings since 2020
60 hrs/week
No compensation reported
Deborah Bailey
Regulatory Policy Committee
Reg Policy Committee - → Regulatory Policy Committee, 2022
On filings since 2021
2 hrs/week
No compensation reported
Gregory Ruppert
Executive Vice President
On filings since 2021
60 hrs/week
No compensation reported
Eric W Noll
Regulatory Policy Committee & Executive Officio
Regulatory Policy Committee - → Regulatory Policy Committee, 2023
Regulatory Policy Committee → Regulatory Policy Committee & Executive Officio, 2024
On filings since 2022
2 hrs/week
No compensation reported
James T. Crowley
Regulatory Policy Committee
Regulatory Policy Committee - → Regulatory Policy Committee, 2023
On filings since 2022
2 hrs/week
No compensation reported
Moira A. Kilcoyne
Regulatory Policy Committee
Regulatory Policy Committee - → Regulatory Policy Committee, 2023
On filings since 2022
2 hrs/week
No compensation reported
Stephanie Dumont
Executive Vice President
On filings since 2022
60 hrs/week
No compensation reported
Lisa Fairfax
Regulatory Policy Committee -
On filings since 2023
2 hrs/week
No compensation reported
Scott Curtis
Regulatory Policy Committee
Regulatory Policy Committee - → Regulatory Policy Committee, 2024
On filings since 2023
2 hrs/week
No compensation reported
William St Louis
Executive Vice President
On filings since 2023
60 hrs/week
No compensation reported
Wendy Lanton
Regulatory Policy Committee -
New on the 2024 filing
2 hrs/week
No compensation reported
Former officers (21)
- Former: Kathryn Ruemmler (2021–2023) — Regulatory Policy Committee -
- Former: Bari M Havlik (2020–2022) — Executive Vice President
- Former: Hillary A Sale (2020–2022) — Chair & Regulatory Policy Committe -
- Former: Eileen K Murray (2021–2022) — Regulatory Policy Committee -
- Former: Jessica Hopper (2021–2022) — Executive Vice President
- Former: Brian J Kovack (2020–2021) — Reg Policy Committee -
- Former: Charles I Plosser (2020–2021) — Reg Policy Committee -
- Former: Kathleen A Murphy (2020–2021) — Reg Policy Committee -
- Former: Peter R Fisher (2020–2021) — Reg Policy Committee -
- Former: Derek W Linden (2020) — Executive Vice President
- Former: Elisse B Walter (2020) — Chair & Reg Policy Committee
- Former: Jonathan S Sokobin (2020) — Senior Vice President
- Former: Joshua S Levine (2020) — Reg Policy Committee
- Former: Stephen A Kohn (2020) — Reg Policy Committee
- Former: Stephen M Schoeneman (2020) — Senior Vice President
- Former: Steven J Randich (2020) — Executive Vice President & CIO
- Former: Susan M Schroeder (2020) — Executive Vice President
- Former: Susan Wolburgh Jenah (2020) — Reg Policy Committee
- Former: Thomas M Selman (2020) — Executive Vice President
- Former: Thomas R Gira (2020) — Executive Vice President
- Former: William H Heyman (2020) — Reg Policy Committee
Data from IRS Form 990 filings, 2020–2024. "On filings since" is the earliest filing we hold that lists the person; hours are average hours per week as reported.
Frequently asked questions about Finra Regulation Inc
How much does Finra Regulation Inc give each year?
Finra Regulation Inc gave $6.1M across 8 grants in 2024, according to its 2024 IRS Form 990. In 2023 it gave $7.4M across 7 grants.
What is Finra Regulation Inc's typical grant size?
Finra Regulation Inc's median grant in 2024 was $17,500, and its average grant was $767,253, across 8 grants on its 2024 IRS Form 990.
Where does Finra Regulation Inc give grants?
Finra Regulation Inc gives mostly in Maryland: 95% of the grant dollars itemized on its 2024 IRS Form 990 went to recipients there. The most frequent recipient cities were Washington, DC (4 grants).
Does Finra Regulation Inc give general operating support?
Yes: 100% of Finra Regulation Inc's 2024 grants with a stated purpose (8 of 8) were for general or operating support, per its 2024 IRS Form 990.
Who are Finra Regulation Inc's largest grantees?
Finra Regulation Inc's largest 2024 grantees include Finra Investor Education Foundation Inc ($5,800,910), American Online Giving Foundation Inc ($206,116) and Sifma Foundation for Investor Education Inc ($60,000), according to its 2024 IRS Form 990. Together they received 99% of its itemized 2024 grant dollars.
How large is Finra Regulation Inc?
Finra Regulation Inc reported $94.1M in total assets on its 2024 IRS Form 990. Its revenue that year was $1.4B.
What is Finra Regulation Inc's EIN?
Finra Regulation Inc's EIN (Employer Identification Number) is 52-1959501. IRS Form 990 filing data is available on this page for 2020–2024.
Data last updated September 2026. Sourced from IRS Form 990 filings.
Data update history
(6)
When this profile's IRS filing data changed on Grantable
- Updated Form 990 for fiscal year 2020 (received by the IRS November 15, 2021)
- Updated Form 990 for fiscal year 2021 (received by the IRS November 14, 2022)
- Updated Form 990 for fiscal year 2022 (received by the IRS November 15, 2023)
- Updated Form 990 for fiscal year 2023 (received by the IRS November 15, 2024)
- Updated Form 990 for fiscal year 2024 (received by the IRS November 16, 2025)
- IRS filings on file for fiscal years 2020–2024
Other open foundation grants in Maryland
Maryland Open opportunities, soonest deadline first.
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