Financial Industry Regulatory Authority, Inc.

Financial Industry Regulatory Authority, Inc.

Financial Industry Regulatory Authority, Inc.

Date Founded



1735 K Street Washington, DC

Charitable Causes

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

Employees (Worldwide)



Securities & Commodities Exchanges
Other Business & Consulting Services
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

Paths to Financial Industry Regulatory Authority, Inc.
Potential Connections via
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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

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.


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


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
Non-Profit Donations & Grants
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