Nonprofit · EIN 52-1959501
FINRA REGULATION INC
Tax-exempt · ROCKVILLE, MD 20850
Financials
| Year ended | Form | Revenue | Expenses | Net income | Total assets | Liabilities | Net assets |
|---|---|---|---|---|---|---|---|
| December 31, 2024 | 990 | $1,354,035,278 | $872,225,711 | $481,809,567 | $94,061,520 | $166,947,162 | -$72,885,642 |
| December 31, 2023 | 990 | $1,118,127,486 | $781,443,382 | $336,684,104 | $60,411,994 | $177,167,372 | -$116,755,378 |
Financial details: 990 for the year ended December 31, 2024
Revenue
- Contributions, gifts and grants
- $0
- Program service revenue
- $1,354,032,018
- Investment income
- $0
- Royalties
- $3,260
- Other revenue
- $3,260
Expenses
- Grants and similar amounts paid
- $6,162,196
- Compensation of officers, directors and key employees
- $0
- Salaries, compensation and benefits (total)
- $0
- Professional fundraising fees
- $0
- Legal fees
- $50,370
- Accounting fees
- $384,811
- Occupancy
- $30,888,094
- Travel
- $8,196,114
Balance sheet and other
- Total assets, start of year
- $60,411,994
- Total assets, end of year
- $94,061,520
- Total liabilities, end of year
- $166,947,162
- Net assets, end of year
- -$72,885,642
- Gross receipts
- $1,354,035,278
- Employees
- 0
- Volunteers
- 2
- Year formed
- 1996
- State of legal domicile
- DE
From the e-filed returns the IRS publishes as XML (latest three processing years; amended returns replace the original). PDF copies at the IRS.
Officers, directors and key employees
As listed on the 990 for the year ended December 31, 2024, highest compensation first.
| Name | Title | Hours / week | Compensation | From related orgs | Other / benefits |
|---|---|---|---|---|---|
| Robert W Cook | President & CEO, ex officio Trustee or director, Officer | 60 | $0 | $3,472,973 | $629,827 |
| Todd T Diganci | Executive Vice President/CFAO Officer | 60 | $0 | $1,739,416 | $631,092 |
| Gregory Ruppert | EXECUTIVE VICE PRESIDENT Officer | 60 | $0 | $1,467,716 | $214,053 |
| Robert L D Colby | EVP And Chief Legal Officer Officer | 60 | $0 | $1,461,686 | $62,670 |
| Stephanie Dumont | EXECUTIVE VICE PRESIDENT Officer | 60 | $0 | $1,109,862 | $156,018 |
| Richard W Berry | Executive Vice President Officer | 60 | $0 | $1,079,799 | $67,472 |
| Marcia E Asquith | EVP, Board & External Relations Officer | 60 | $0 | $994,058 | $140,850 |
| William St Louis | EXECUTIVE VICE PRESIDENT Officer | 60 | $0 | $930,024 | $173,829 |
| Eric W Noll | REGULATORY POLICY COMMITTEE, EX OFFICIO Trustee or director | 2 | $0 | $175,505 | $0 |
| Maureen Jensen | CHAIR, Regulatory Policy Committee Trustee or director | 2 | $0 | $118,608 | $0 |
| Scott Curtis | REGULATORY POLICY COMMITTEE Trustee or director | 2 | $0 | $105,011 | $0 |
| Wendy Lanton | REGULATORY POLICY COMMITTEE - AS OF 12/5/24 Trustee or director | 2 | $0 | $103,964 | $0 |
| MOIRA A KILCOYNE | REGULATORY POLICY COMMITTEE Trustee or director | 2 | $0 | $100,475 | $0 |
| DEBORAH BAILEY | REGULATORY POLICY COMMITTEE Trustee or director | 2 | $0 | $100,000 | $0 |
| Timothy C Scheve | Regulatory Policy Committee - THRU 9/11/24 Trustee or director | 2 | $0 | $89,198 | $0 |
5 more people on this return
| Name | Title | Hours / week | Compensation | From related orgs |
|---|---|---|---|---|
| John B Ehnes | Regulatory Policy Committee - thru 9/11/24 Trustee or director | 2 | $0 | $85,738 |
| Paige W Pierce | REGULATORY POLICY COMMITTEE - THRU 9/11/24 Trustee or director | 2 | $0 | $76,912 |
| Lisa Fairfax | REGULATORY POLICY COMMITTEE - THRU 4/5/24 Trustee or director | 2 | $0 | $50,220 |
| Ethiopis Tafara | Regulatory Policy Committee Trustee or director | 2 | $0 | $958 |
| JAMES T CROWLEY | REGULATORY POLICY COMMITTEE Trustee or director | 2 | $0 | $737 |
990 for the year ended December 31, 2023: 20 people
| Name | Title | Hours / week | Compensation | From related orgs | Other / benefits |
|---|---|---|---|---|---|
| Robert W Cook | President & CEO Trustee or director, Officer | 60 | $0 | $3,243,336 | $595,811 |
| Todd T Diganci | Executive Vice President/CFAO Officer | 60 | $0 | $1,668,198 | $900,600 |
| Gregory Ruppert | EXECUTIVE VICE PRESIDENT Officer | 60 | $0 | $1,452,064 | $82,308 |
| Robert L D Colby | EVP And Chief Legal Officer Officer | 60 | $0 | $1,357,588 | $86,606 |
| Stephanie Dumont | EXECUTIVE VICE PRESIDENT Officer | 60 | $0 | $1,001,760 | $261,578 |
| William St Louis | EXECUTIVE VICE PRESIDENT Officer | 60 | $0 | $1,075,963 | $128,582 |
| Marcia E Asquith | EVP, Board & External Relations Officer | 60 | $0 | $955,474 | $186,760 |
| Richard W Berry | Executive Vice President Officer | 60 | $0 | $774,145 | $277,207 |
| Eric W Noll | REGULATORY POLICY COMMITTEE Trustee or director | 2 | $0 | $170,628 | $0 |
| John B Ehnes | Regulatory Policy Committee Trustee or director | 2 | $0 | $113,209 | $0 |
| Maureen Jensen | CHAIR, Regulatory Policy Committee Trustee or director | 2 | $0 | $113,209 | $0 |
| Timothy C Scheve | Regulatory Policy Committee Trustee or director | 2 | $0 | $112,704 | $0 |
| Paige W Pierce | REGULATORY POLICY COMMITTEE Trustee or director | 2 | $0 | $102,575 | $0 |
| DEBORAH BAILEY | REGULATORY POLICY COMMITTEE Trustee or director | 2 | $0 | $100,179 | $0 |
| MOIRA A KILCOYNE | REGULATORY POLICY COMMITTEE Trustee or director | 2 | $0 | $100,179 | $0 |
| Lisa Fairfax | REGULATORY POLICY COMMITTEE - AS OF 12/7/23 Trustee or director | 2 | $0 | $75,709 | $0 |
| Scott Curtis | REGULATORY POLICY COMMITTEE - AS OF 12/7/23 Trustee or director | 2 | $0 | $51,697 | $0 |
| JAMES T CROWLEY | REGULATORY POLICY COMMITTEE Trustee or director | 2 | $0 | $709 | $0 |
| Kathryn Ruemmler | REGULATORY POLICY COMMITTEE - THRU 9/6/23 Trustee or director | 2 | $0 | $613 | $0 |
| Ethiopis Tafara | Regulatory Policy Committee Trustee or director | 2 | $0 | $0 | $0 |
Address and contacts
- Address (IRS master file)
- 9509 KEY WEST AVENUE, ROCKVILLE, MD 20850-0000
- In care of
- % MARCIA E ASQUITH
- Principal officer (990 for 2024)
- ROBERT W COOK, 1700 K STREET NW, WASHINGTON, DC 20006
- Signed the 990
- ROBERT W COOK, PRESIDENT AND CEO
- Phone
- (202) 728-8949
- Return prepared by
- ERNST & YOUNG US LLP
Mission
FINRA REGULATION IS DEDICATED TO INVESTOR PROTECTION AND MARKET INTEGRITY THROUGH EFFECTIVE AND EFFICIENT REGULATION OF THE SECURITIES INDUSTRY.
Program accomplishments
- SEE SCHEDULE O
What it must file and when
IRS records say it files Form 990 or 990-EZ. Based on its last return; a smaller organization may file the 990-N. Its accounting year ends in December, so each return is due on the 15th day of the 5th month after that.
| Tax year | Year ended | Due | IRS public records |
|---|---|---|---|
| 2025 | December 31, 2025 | May 15, 2026 | Not on file |
| 2024 | December 31, 2024 | May 15, 2025 | 990 on file |
| 2023 | December 31, 2023 | May 15, 2024 | 990 on file |
IRS record
- EIN
- 52-1959501
- Tax-exempt status
- 501(c)(6): Business league or chamber of commerce
- Donations deductible
- No
- Exempt since
- 1997
- Accounting year ends
- December
- Files
- Form 990 or 990-EZ
- Assets (IRS master file)
- $94,061,520
- Income (IRS master file)
- $1,354,035,278
Filing history
| Form | Year ended | Revenue | Expenses | Assets | Return |
|---|---|---|---|---|---|
| 990 | December 2024 | $1,354,035,278 | $872,225,711 | $94,061,520 | XML |
| 990 | December 2023 | $1,118,127,486 | $781,443,382 | $60,411,994 | XML |
| 990 | December 2022 | $1,039,482,542 | $693,480,189 | $30,977,462 | IRS |
| 990 | December 2021 | – | – | – | IRS |
| 990 | December 2020 | – | – | – | IRS |
| 990 | December 2018 | – | – | – | IRS |
| 990 | December 2017 | – | – | – | IRS |
990-N: the IRS bulk file holds only the latest e-Postcard per organization; earlier years come from archived copies of that file since 2020 and can have gaps (the IRS e-Postcard search lists every one). 990, 990-EZ, 990-PF, 990-T: every e-filed return in the IRS e-file index since 2019; XML for the latest three processing years, amounts from the IRS Statistics of Income extracts before that. PDF copies and determination letters at the IRS (search EIN 52-1959501).
Questions about FINRA REGULATION INC
- What is the EIN of FINRA REGULATION INC?
- The employer identification number (EIN) of FINRA REGULATION INC is 52-1959501.
- Is FINRA REGULATION INC tax-exempt?
- Yes. The IRS lists it as tax-exempt under section 501(c)(6) since 1997.
- Are donations to FINRA REGULATION INC tax-deductible?
- No. The IRS master file says contributions to it are not deductible.
- Which annual return does FINRA REGULATION INC file?
- Form 990 or 990-EZ. Based on its last return; a smaller organization may file the 990-N.
- When is the next return of FINRA REGULATION INC due?
- The return for tax year 2025 (the year ending December 31, 2025) is due May 15, 2026. Form 8868 extends it by six months; the 990-N cannot be extended.
- When did FINRA REGULATION INC last file with the IRS?
- The latest return in the IRS public files is the 990 for the year ended December 2024.
- Who is the principal officer of FINRA REGULATION INC?
- The 990 for the year ended December 31, 2024 names ROBERT W COOK.
- Who are the officers and directors of FINRA REGULATION INC?
- The 990 for the year ended December 31, 2024 lists 20 people; 0 received compensation from the organization.
- How much revenue does FINRA REGULATION INC have?
- On its 990 for the year ended December 31, 2024 it reported revenue of $1,354,035,278, expenses of $872,225,711 and total assets of $94,061,520 at year end.
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