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
No grants recorded for .
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 | — |
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Data last updated April 2026. Sourced from IRS Form 990-PF filings.
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