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)

1,138

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
Trying to get in touch with decision makers at Financial Industry Regulatory Authority, Inc.? Subscribe today to access their professional contact information and receive a one time promotion of free Contact Data credits!
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

Executive Vice President & Head of Member Regulation-Sales Practice

Senior Executive Vice President

Executive Vice President Market Regulation & Transparency Services

Board of Directors

Governor at Financial Industry Regulatory Authority, Inc.

Vice Chairman at The Travelers Cos., Inc.

Director-Sustainability Accounting Standards at National Women's Law Center

Former President & Chief Executive Officer at Investment Industry Regulatory Organization of Canada

President, Treasurer & Secretary at Pechter, Inc.

Paths to Financial Industry Regulatory Authority, Inc.
Potential Connections via
Relationship Science
You
Financial Industry Regulatory Authority, Inc.
Recent Transactions
Details Hidden

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

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

McKinsey & Co., Inc. provides management consulting services. It specializes in design, marketing and sales, analytics, operations, transformation and restructuring, risk, strategy and corporate finance, and sustainability and resource productivity. The company was founded by James O. McKinsey in 1926 and is headquartered in New York, NY.

Consultant

Enterprise Services 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 Dallas, TX.

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

To support the leadership role of state banking supervisors in advancing the state banking system; enhancing consumer protection; ensuring safety and soundness; promoting economic growth and consumer protection; and fostering innovative state regulation of the financial services industry, thus lessening the burdens of government.

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

Key Stats and Financials As of 2015
Market Capitalization
Total Enterprise Value
Earnings Per Share
Revenue
$704M
Non-Profit Donations & Grants
$12.5K - $20K
2012
$20K - $35K
2011
Suppliers
Eplus Inc. Wholesale: Consumer Durables | HERNDON, VA

ePlus, Inc. is a holding company, which engages in the provision of information technology (IT) and consulting solutions for commercial, state and local governments, and government contractors. It operates through the Technology and Financing segments. The Technology segment sells IT products, third-party software, third-party maintenance, professional and managed services, and proprietary software. The Financing segment consists of the financing of IT equipment, software, and related services. The company was founded by Bruce M. Bowen in 1990 and is headquartered in Herndon, VA.

Cvent, Inc. Pension Funds & Sovereign Wealth | TYSONS CORNER, 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 on August 20, 1999 and is headquartered in Tysons Corner, VA.

This web site is not endorsed by, directly affiliated with, maintained, authorized, or sponsored by Financial Industry Regulatory Authority, Inc.. The use of any trade name or trademark is for identification and reference purposes only and does not imply any association with the trademark holder. The Presence of Financial Industry Regulatory Authority, Inc.'s profile does not indicate a business or promotional relationship of any kind between RelSci and Financial Industry Regulatory Authority, Inc..