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Finra Regulation INC

Trade
DBA: % MARCIA E ASQUITH
Trade Association · ROCKVILLE, MD · EIN 52-1959501
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About

Finra regulation is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.

In care of Marcia E Asquith

Donations are NOT tax-deductible
Category
Trade Association
Employees
0
Volunteers
2

Financial Snapshot

FY ending 2024-12-31
Revenue
$1.4B
Expenses
$872.2M
Assets
$94.1M
Liabilities
$166.9M

Financial history

$1.4B$677.0M$0
161718192021222324
RevenueExpenses
Latest FY2024: $1.4B · Avg: $954.6M
FINRA REGULATION INC
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Address

9509 Key WEST Avenue
Rockville, MD, 20850-000

Governance

Voting board members6
Independent members6
Conflict-of-interest policyYes
Whistleblower policyYes
Doc-retention policyYes
Audit committeeYes
990 reviewed by boardYes

Compensation practices

Severance paymentsNo
Equity-based compNo
Supplemental retirement planYes
Public records
ProPublica Nonprofit Explorer ↗
Full 990 PDFs going back to 2001, plus parsed financial extracts. The easiest place to read actual filings.
IRS Tax Exempt Organization Search ↗
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