Cause IQ organization profile

Financial Industry Regulatory Authority (FINRA)

Form 990s | Financials | Vendors | Personnel | Peers

FINRA is a public sector improvement organization based in Washington, DC that was founded in 1936. As of 2019 they had $1.2 billion in revenue and $2.1 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:
$1,246,962,010
Assets:
$2,115,247,106
Employees:
3,899
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

Field2018
Total grants, contributions, etc.$0
Program services$629,713,239
Investment income and dividends$32,569,862
Tax-exempt bond proceeds$0
Royalty revenue$170,472
Net rental income$263,128
Net gain from sale of non-inventory assets$16,354,236
Net income from fundraising events$0
Net income from gaming activities$0
Net income from sales of inventory$0
Miscellaneous revenues$567,891,073
Total revenues$1,246,962,010

Vendors for FINRA

VendorServicesAmount paidDate
DrupalContent management system software2020-06-20
█████ ███ █████ ██ ███Tax accounting; Audit accounting2019-11-15
█████████Testing Services$11,723,2172018-12-01
██████████Consulting$12,096,1792018-12-01
██████ ███ ████████Hosting Services$21,000,0002018-12-01
██████ ██████████ ██Hosting Services$15,819,2932018-12-01
█████████ ███████████Consulting$5,148,4962018-12-01
███ ██████Custodial (securities), Trustee (bank, trust company or similar financial institution)$82,2572016-12-31
...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
1World Economic Forum501(c)(6)$318 millionSwitzerland,
2American Medical Association501(c)(6)$332 millionChicago, IL
3Cfa Institute501(c)(6)$370 millionCharlottesville, VA
4American Bureau of Shipping (ABS)501(c)(6)$460 millionSpring, TX
5The Pew Charitable Trusts (Pew)501(c)(3)$337 millionPhiladelphia, PA
6Blue Cross Blue Shield Association (BCBSA)501(c)(4)$606 millionChicago, IL
7Medical Faculty Associates501(c)(3)$450 millionWashington, DC
8Smithsonian Institution (SI)501(c)(3)$1.4 billionWashington, DC
9American National Red Cross (ANRC)501(c)(3)$2.8 billionWashington, DC
10National Education Association of the United States501(c)(5)$383 millionWashington, DC
11John F Kennedy Center for the Performing Arts501(c)(3)$319 millionWashington, DC
12American Institutes for Research in the Behavioral Sciences501(c)(3)$481 millionWashington, DC
13Association of Universities for Research in Astronomy501(c)(3)$370 millionWashington, DC