#91 of 500 · Civic & Other

Financial Industry Regulatory Authority Inc

EIN 53-0088710 · MD · NTEE n/a · Form 990, fiscal 2023

A nonprofit, self-regulatory organization authorized by the U.S. government to oversee broker-dealers and securities firms operating in the United States. Formed in 2007 through the consolidation of NASD and NYSE member-regulation functions, FINRA writes and enforces rules governing member firms and registered representatives, examines firms for compliance, administers securities licensing exams, operates market-surveillance and arbitration programs, and provides investor education. It is headquartered in Washington, D.C., with an operations center in Rockville, Maryland.

Financials, fiscal 2023

Revenue

$1.60B

Expenses

$2.06B

Total assets

$2.48B

Net assets

$1.67B

Operating margin

-28.4%

1-year growth

-7.3%

5-year growth (CAGR)

5.1%

Reserve (years of spending)

9.8

Contributions share

n/a

Programme spending

53.4%

Fundraising cost

n/a

Executive pay share

0.91%

Employees

4,102

Revenue per employee

$391K

Grants paid

n/a

Years filing

86

NFP Health Score: 78 / 100

Financial 75 · 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 market integrity in a manner that facilitates vibrant capital markets.

Revenue history