Cause IQ organization profile

Financial Industry Regulatory Authority (FINRA)

Form 990s | Financials | Social media | Vendors | Personnel | Peers

FINRA is a public sector improvement organization based in Rockville, MD that was founded in 1936. As of 2018 they had $1.3 billion in revenue and $2.2 billion in assets.

Financial Industry Regulatory Authority (FINRA) is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers.

Previous legal names or variations of their name include: National Association Securities Dealers.

Fiscal year end:
Revenue trends:
Asset trends:

Form 990s for FINRA

Fiscal year endingDate received by IRSFormPDF link
2017-12Feb 21, 2019990View PDF
2016-12Jan 18, 2018990View PDF
2015-12Feb 27, 2017990OView PDF
2014-12Feb 3, 2016990OView PDF
2013-12Dec 29, 2014990OView PDF
...and three more Form 990 PDFs

Financials for FINRA

Federated campaigns$0
Membership dues$0
Fundraising event contributions$0
Related organizations$0
Government grants (contributions)$0
Normal grants, contributions, etc.$0
Non-cash contributions$0
Program services$647,868,600
Investment income and dividends$24,484,935
Tax-exempt bond proceeds$0
Royalty revenue$144,351
Net rental income$231,989
Net gain from sale of non-inventory assets$63,985,787
Net income from fundraising events$0
Net income from gaming activities$0
Net income from sales of inventory$0
Miscellaneous revenues$570,969,991
Total revenues$1,307,685,653

Social media

Vendors for FINRA

VendorServicesAmount paidDate
DrupalContent management system software2019-06-21
█████ ███ █████ ██ ███Tax accounting; Audit accounting2018-11-12
██████ ███ ████████Hosting Services$21,274,4702017-12-01
█████████ ███████████Consulting$5,458,0952017-12-01
██████ ██████████ ██Hosting Services$14,134,4082017-12-01
█████████Testing Services$10,561,8142017-12-01
██████████Tech Consulting$14,690,7882017-12-01
█████ ████ █████████ ███Insurance2016-12-31
...and 21 more vendors

Personnel at FINRA

NameTitleCompensationMost recent data
Richard G Ketchum FmrChairman and Chief Executive Officer-Dec. 31, 2017
Robert W. CookPresident and Chief Executive Officer$1.0 millionJuly 13, 2019
██████ █ ███████Executive Vice President and Chief Information Officer$1.0 millionDec. 31, 2017
██████ █ █ █████Executive Vice President and Chief Legal Officer$1.2 millionDec. 31, 2017
████ ███████Senior Vice President , Corporate Communications-Sept. 15, 2017
████ █████Senior Vice President , Member Relations and Education-Sept. 15, 2017
███████ ██████████Executive Vice President$790,937Dec. 31, 2017
█████ █████President , Finra Foundation and Senior Vice President , Investor Education / President , Finra Investor Education Foundationsenior Vice President , Finra Investor Education-Sept. 15, 2017
█ ███████ ███████Executive Vice President$1.2 millionDec. 31, 2016
████████ █ ███████Senior Vice President$525,371Dec. 31, 2017
...and 13 more key personnel

Peer public sector reform and improvement organizations

1The Pew Charitable Trusts / Plan 08150 08151 08152501(c)(3)$337 millionPhiladelphia, PA
2RAND Corporation (RAND)501(c)(3)$416 millionSanta Monica, CA
3Blue Cross Blue Shield Association (BCBSA)501(c)(4)$591 millionChicago, IL
4Holy Cross Health501(c)(3)$563 millionSilver Spring, MD
5Greater Baltimore Medical Center (GBMC)501(c)(3)$439 millionBaltimore, MD
6Howard Hughes Medical Institute501(c)(3)$1.5 billionChevy Chase, MD
7Frederick Memorial Hospital (FMH)501(c)(3)$373 millionFrederick, MD
8Johns Hopkins Health System Corporation (JHHS)501(c)(3)$382 millionBaltimore, MD
9HH Medstar Health501(c)(3)$549 millionColumbia, MD
10Peninsula Regional Medical Center501(c)(3)$443 millionSalisbury, MD
11University of Maryland Capital Region Health501(c)(3)$399 millionLaurel, MD
12Johns Hopkins University (JHU)501(c)(3)$6.4 billionBaltimore, MD
13Western Maryland Health System Corporation (WMHS)501(c)(3)$424 millionCumberland, MD
14The Johns Hopkins Hospital (JHH)501(c)(3)$2.3 billionBaltimore, MD
15American Bureau of Shipping (ABS)501(c)(6)$484 millionSpring, TX

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