Cause IQ organization profile

Financial Industry Regulatory Authority (FINRA)

Form 990s | Financials | 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.

EIN:
53-0088710
City:
State:
Metro:
Website:
Phone:
(301) 590-6500
Facebook:
Twitter:
Founded:
1936
Type:
501(c)(6)
NTEE:
Revenue:
$1,307,685,653
Assets:
$2,264,413,001
Employees:
3,950
Fiscal year end:
December
Revenue trends:
Asset trends:

Form 990s for FINRA

Fiscal year endingDate received by IRSFormPDF link
2018-12Feb 18, 2020990OView PDF
2017-12Feb 21, 2019990View PDF
2016-12Jan 18, 2018990View PDF
2015-12Feb 27, 2017990OView PDF
2014-12Feb 3, 2016990OView PDF
...and five more Form 990 PDFs

Financials for FINRA

Field2017
Total grants, contributions, etc.$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

Vendors for FINRA

VendorServicesAmount paidDate
DrupalContent management system software2020-06-20
█████ ███ █████ ██ ███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 millionMay 20, 2020
██████ █ ███████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
████████ █ ███████Senior Vice President$525,371Dec. 31, 2017
███████ ██████Executive Vice President$767,892Dec. 31, 2017
...and 11 more key personnel

Peer public sector reform and improvement organizations

 NameTypeRevenueLocation
1Cfa Institute501(c)(6)$370 millionCharlottesville, VA
2American Bureau of Shipping (ABS)501(c)(6)$460 millionSpring, TX
3Blue Cross Blue Shield Association (BCBSA)501(c)(4)$606 millionChicago, IL
4The Pew Charitable Trusts (Pew)501(c)(3)$337 millionPhiladelphia, PA
5Open Society Foundation501(c)(3)$372 millionNew York, NY
6Johns Hopkins University (JHU)501(c)(3)$6.4 billionBaltimore, MD
7Howard Hughes Medical Institute501(c)(3)$1.5 billionChevy Chase, MD
8Turning Point Foundation501(c)(3)$622 millionBowie, MD
9HH Medstar Health501(c)(3)$549 millionColumbia, MD