#134 of 500 · Civic & Other

Finra Regulation Inc

EIN 52-1959501 · MD · NTEE n/a · Form 990, fiscal 2023

A subsidiary of the Financial Industry Regulatory Authority (FINRA), the largest independent regulator of securities firms doing business in the United States. FINRA is a self-regulatory organization operating under SEC oversight, and is funded by member fees rather than taxpayer dollars. It writes and enforces rules governing broker-dealers and their representatives, examines firms, operates market transparency and trade-reporting systems, and runs a dispute resolution forum for investors and firms.

Financials, fiscal 2023

Revenue

$1.12B

Expenses

$781.4M

Total assets

$60.4M

Net assets

-$116.8M

Operating margin

30.1%

1-year growth

7.6%

5-year growth (CAGR)

8.6%

Reserve (years of spending)

-1.8

Contributions share

n/a

Programme spending

100.0%

Fundraising cost

n/a

Executive pay share

0.00%

Employees

n/a

Revenue per employee

n/a

Grants paid

$7.4M

Years filing

26

NFP Health Score: 46 / 100

Financial 10 · Governance 75 · Operational 90. The score is built from Form 990 line items only. It cannot measure how well an organisation delivers its mission.

Mission

To protect investors and safeguard the integrity of our vibrant capital markets to ensure that everyone can invest with confidence.

Revenue history