Finra Regulation Inc
FINRA REGULATION IS DEDICATED TO INVESTOR PROTECTION AND MARKET INTEGRITY THROUGH EFFECTIVE AND EFFICIENT REGULATION OF THE SECURITIES INDUSTRY.
Financial Overview
From 2024 IRS Form 990-PF · View filing
Total Assets
$94.1M
+55.7% YoY
Annual Giving
$6.1M
-17.0% YoY
Grant Count
8
+14.3% YoY
Avg Grant Size
$767K
-27.4% YoY
About Finra Regulation Inc
Based on IRS filings
Finra Regulation Inc is a nonprofit organization, 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.
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Geographic Focus
Where this funder awards grants
Grant Distribution by State
Cities
Financial History
Multi-year comparison from IRS filings
| Metric | 2024 | 2023 | 2022 |
|---|---|---|---|
| Total Assets | $94,061,520 | $60,411,994 | $30,977,462 |
| Revenue | $1,354,035,278 | $1,118,127,486 | $1,039,482,542 |
| Expenses | $872,225,711 | $781,443,382 | $693,480,189 |
| Qualifying Distributions | — | — | — |
| Net Investment Income | — | — | — |
| Distributable Amount | — | — | — |
Giving Over Time
Total grant dollars and number of grants per year
Grant Insights
How this funder distributes its grants
Top Recipients
Top 8 recipients in 2024
Grant Size Distribution
38 grants across all recorded years
Giving History
Grant recipients and amounts by year
Among its reported 2024 grants, the largest include Finra Investor Education Foundation Inc ($5,800,910), American Online Giving Foundation Inc ($206,116), Sifma Foundation for Investor Education Inc ($60,000).
| 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 |
Leadership & Key People
Officers and directors from IRS filings
Compensation Overview
From 2024 IRS filing
From 2024 filing
| Name | Title | Hours | Compensation |
|---|---|---|---|
| Robert W Cook | President & CEO, ex officio | 60 | — |
| DEBORAH BAILEY | REGULATORY POLICY COMMITTEE | 2 | — |
| Eric W Noll | REGULATORY POLICY COMMITTEE, EX OFFICIO | 2 | — |
| Ethiopis Tafara | Regulatory Policy Committee | 2 | — |
| JAMES T CROWLEY | REGULATORY POLICY COMMITTEE | 2 | — |
| John B Ehnes | Regulatory Policy Committee - thru 9/11/24 | 2 | — |
| Lisa Fairfax | REGULATORY POLICY COMMITTEE - THRU 4/5/24 | 2 | — |
| Maureen Jensen | CHAIR, Regulatory Policy Committee | 2 | — |
| MOIRA A KILCOYNE | REGULATORY POLICY COMMITTEE | 2 | — |
| Paige W Pierce | REGULATORY POLICY COMMITTEE - THRU 9/11/24 | 2 | — |
| Scott Curtis | REGULATORY POLICY COMMITTEE | 2 | — |
| Timothy C Scheve | Regulatory Policy Committee - THRU 9/11/24 | 2 | — |
| Wendy Lanton | REGULATORY POLICY COMMITTEE - AS OF 12/5/24 | 2 | — |
| Gregory Ruppert | EXECUTIVE VICE PRESIDENT | 60 | — |
| Marcia E Asquith | EVP, Board & External Relations | 60 | — |
| Richard W Berry | Executive Vice President | 60 | — |
| Robert L D Colby | EVP And Chief Legal Officer | 60 | — |
| Stephanie Dumont | EXECUTIVE VICE PRESIDENT | 60 | — |
| Todd T Diganci | Executive Vice President/CFAO | 60 | — |
| William St Louis | EXECUTIVE VICE PRESIDENT | 60 | — |
Frequently Asked Questions
How large is Finra Regulation Inc?
As of 2024, Finra Regulation Inc holds $94.1M in total assets with $1.4B in annual revenue. It awarded 8 grants totaling $6.1M in 2024.
Where does Finra Regulation Inc operate?
Finra Regulation Inc has awarded grants in Colorado, District of Columbia, Delaware, Florida, Illinois, Maryland, New York, Pennsylvania, Virginia.
What size grants does Finra Regulation Inc award?
In 2024, Finra Regulation Inc awarded 8 grants totaling $6.1M — an average of about $767K per grant, based on its IRS Form 990 filings.
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.
Explore Open Grants
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Data last updated April 2026. Sourced from IRS Form 990-PF filings.
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