Financial Industry Regulatory Authority, Inc.

Financial Industry Regulatory Authority, Inc.

Financial Industry Regulatory Authority, Inc.

Overview
Date Founded

2007

Headquarters

1735 K Street Washington, DC

Charitable Causes

Chambers of Commerce & Business Leagues
Philanthropy, Voluntarism, and Grantmaking Foundations

Employees (Worldwide)

3,899

Industries

Securities & Commodities Exchanges
Other Business & Consulting Services
Government
Accounting & Financial Services
Consumer Services
Investment Banking & Brokerage

Company Description

The Financial Industry Regulatory Authority, Inc. (FINRA) is the largest independent regulator of securities firms doing business with the public in the United States. Our core mission is to pursue investor protection and market integrity, and we carry it out by overseeing virtually every aspect of the brokerage industry. All told, FINRA oversees about 4,245 brokerage firms, about 162,230 branch offices and approximately 630,150 brokers. With approximately 3,400 employees, we are the first line of defense for investors—working in communities all across the nation.

Contact Data
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Executives & Employees

President & Chief Executive Officer

Executive Vice President & Chief Financial Officer

Executive Vice President & General Counsel

Executive Vice President & General Counsel

Executive Vice President & Chief Information Officer

Chief Economist & Senior Vice President

Executive Vice President & Chief Legal Officer

Head, Office of Financial & Operational Risk Policy-Office of General Counsel

Senior Executive Vice President

Executive Vice President, Market Regulation & Transparency Services

Board of Directors

Governor at Financial Industry Regulatory Authority, Inc.

President & Chief Executive Officer at Janney Montgomery Scott LLC

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Financial Industry Regulatory Authority, Inc.
Recent Transactions
Details Hidden

AVG Technologies NV purchases Location Labs, Inc. from Threshold Ventures, Inc., Qualcomm Ventures, Kolon Investment, Inc., Second Avenue Partners LLC, Mitsui & Co. Global Investment, Inc., BlueRun Ventures

Details Hidden

National Association of Securities Dealers, Inc. purchases NYSE Regulation, Inc. /Member Regulation Operations from NYSE Euronext, Inc. resulting in a new company Financial Industry Regulatory Authority, Inc.

Details Hidden

American Stock Exchange of New York /Management purchases American Stock Exchange LLC from Financial Industry Regulatory Authority, Inc.

Transaction Clients
Investment Advisor

Advised on AVG Technologies NV purchases Location Labs, Inc. from Kolon Investment, Inc., Threshold Ventures, Inc., BlueRun Ventures, Second Avenue Partners LLC, Mitsui & Co. Global Investment, Inc., Qualcomm Ventures

Advisors & Consultants
Consultant

Nasdaq, Inc. is a holding company, which engages in trading, clearing, exchange technology, regulatory, securities listing, information and public & private company services. It operates through the following segments: Market Services, Corporate Services, Information Services and Market Technology. The Market Services segment includes its equity derivative trading and clearing, cash equity trading, FICC and trade management services businesses. The Corporate Services segment includes its corporate solutions and listing services businesses. The Information Services segment includes data products, index licensing and services businesses. The Market Technology segment is a global technology solutions provider and partner to exchanges, clearing organizations, central securities depositories, regulators, banks, brokers and corporate businesses. The company was founded by Gordon S. Macklin in 1971 and is headquartered in New York, NY.

Consultant

Perspecta Enterprise Solutions LLC provides information technology, applications, and business process services. The firm also provides consulting and support to corporations and government clients. The company was founded by H. Ross Perot on June 27, 1962 and is headquartered in Houston, TX.

Legal Advisor

Sidley Austin LLP is an American multi-national private company located in New York, NY, that provides legal services.

Legal Advisor

Co-Chair, Electronic Discovery & Information Law Practice Group at Gibson, Dunn & Crutcher LLP

Legal Advisor

Partner at O'Melveny & Myers LLP

Legal Advisor

Partner at Gibson, Dunn & Crutcher LLP

Clients

Conference of State Bank Supervisors is a nonprofit company headquartered in Washington, DC, that provides banking and financial services. John W. Ryan is the current CEO, occupying that position since 1997.The company says this about itself: The Conference of State Bank Supervisors (CSBS) is the national organization of bank regulators from all 50 states, American Samoa, District of Columbia, Guam, Puerto Rico and U.S. Virgin Islands. State regulators supervise 79% of all U.S. banks and are the primary supervisor of non-depository financial services. CSBS, on behalf of state regulators, also operates the Nationwide Multistate Licensing System to license and register non-depository financial service providers in the mortgage, money services businesses, consumer finance and debt industries.

The purpose is to acquire real property, hold title to, and collect income from such property.

Key Stats and Financials As of 2018
Market Capitalization
Total Enterprise Value
Earnings Per Share
Revenue
$1.25B
Non-Profit Donations & Grants
Suppliers
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ePlus inc., is provides information technology solutions that enable organizations to optimize their information technology (IT) environment and supply chain processes in the United States. It operates in two segments, Technology and Financing. The Technology segment offers hardware, perpetual and subscription software, maintenance, software assurance, and internally-provided and outsourced services; and advanced professional and managed services, including ePlus managed, professional, security, staff augmentation, server and desktop support, and project management services. The Financing segment specializes in arrangements, such as direct financing, sales-type, and operating leases; loans and consumption-based financing arrangements; and underwriting and management of IT equipment and assets. Its financing operations comprise sales, pricing, credit, contracts, accounting, risk management, and asset management. This segment primarily finances IT equipment, communication-related equipment, and medical equipment; and industrial machinery and equipment, office furniture and general office equipment, transportation equipment, and other general business equipment directly, as well as through vendors. ePlus inc. serves commercial entities, state and local governments, government contractors, and educational institutions The company was founded by Bruce M. Bowen in 1990 and is headquartered in Herndon, VA.

Cvent, Inc. Pension Funds & Sovereign Wealth | Mclean, VA

Cvent, Inc. engages in the provision of meetings, events, and hospitality management technology solutions. The firm offers tools for online event registration, venue selection, event management, mobile apps for events, email marketing, attendee tracking, and customer feedback. It focuses on the industry of association, corporate, education, government, hospitality, non-profit, and third-party planner. The company was founded by Rajeev K. Aggarwal, Sanjeev K. Bansal, Charles V. Ghoorah, David C. Quattrone, and Dwayne J. Sye in 1999 and is headquartered in McLean, VA.

Amazon Web Services, Inc. Internet Software & Services | Seattle, WA

Amazon Web Services, Inc. engages in provision of information technology infrastructure services. Its solutions include archiving, backup and restore, blockchain, business applications, containers, content delivery, database migrations, data lakes and analytics, development operations, e-commerce, high performance computing, hybrid cloud architectures, Internet of Things, mobile services, modern application development, scientific computing, serverless computing, and websites. The company was founded by Andrew R. Jassy in 2006 and is headquartered in Seattle, WA.

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