FINRA Regulation, Inc.

Company Details

Name:	FINRA Regulation, Inc.
Jurisdiction:	Rhode Island
Entity type:	Foreign Non-Profit Corporation
Status:	Activ
Date of Organization in Rhode Island:	10 Dec 1996 (28 years ago)
Identification Number:	000092575
Purpose:	AN INDEPENDENT SUBSIDIARY OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
Historical names:	NASD Regulation, Inc..
Principal Address:	1700 K STREET NW, WASHINGTON, DC, 20006, USA

Industry & Business Activity

NAICS

926150 Regulation, Licensing, and Inspection of Miscellaneous Commercial Sectors

This industry comprises government establishments primarily engaged in the regulation, licensing, and inspection of commercial sectors, such as retail trade, professional occupations, manufacturing, mining, construction, and services. Included in this industry are government establishments maintaining physical standards, regulating hazardous conditions not elsewhere classified, and enforcing alcoholic beverage control regulations. Learn more at the U.S. Census Bureau

Agent

Name	Role	Address
CORPORATION SERVICE COMPANY	Agent	222 JEFFERSON BOULEVARD SUITE 200, WARWICK, RI, 02888, USA

TREASURER

Name	Role	Address
TODD T DIGANCI	TREASURER	1700 K STREET NW WASHINGTON, DC 20006 USA

SECRETARY

Name	Role	Address
MARCIA E ASQUITH	SECRETARY	1700 K STREET NW WASHINGTON, DC 20006 USA

PRESIDENT/DIR

Name	Role	Address
ROBERT W COOK	PRESIDENT/DIR	1700 K STREET NW WASHINGTON, DC 20006 USA

DIRECTOR

Name	Role	Address
SAMIR DESHPANDE	DIRECTOR	500 W MAIN STREET, 6TH FLOOR LOUISVILLE, KY 40202 USA
ERIC NOLL	DIRECTOR	ONE BELMONT AVENUE SUITE 600 BALA CYNWYD, PA 19004 USA
WENDY LANTON	DIRECTOR	35 PINE ROAD SUITE 101E MELVILLE, NY 11747 USA
JAMES T. CROWLEY	DIRECTOR	ON PERSHING PLAZA JERSEY CITY, NJ 07399 USA
LINDE MURPHY	DIRECTOR	950 EAST BASSE ROAD SECOND FLOOR SAN ANTIONIO, TX 78209 USA
MORTIMER J BUCKLEY	DIRECTOR	100 VANGUARD BLVD MALVERN, PA 19355 USA
PEGGY HO	DIRECTOR	9 DONIZETTI STREET WELLESLEY, MA 02482 USA
LANCE F DRUMMOND	DIRECTOR	14263 NOLEN LANE CHARLOTTE, NC 28277 USA
MAUREEN JENSEN	DIRECTOR	117 CAMERON STREET THORNBURY, ON N0H 2P0 CAN
ETHIOPIS TAFARA	DIRECTOR	1818 H STREET NW WASHINGTON, DC 20436 USA
FABIOLA ARREDONDO	DIRECTOR	115 MASON ST. GREENWICH, CT 06830 USA
LISA FAIRFAX	DIRECTOR	UNIVERSITY OF PENNSYLVANIA, 3501 SANSON STREET PHILADELPHIA, PA 19104 USA
SCOTT CURTIS	DIRECTOR	RAYMOND JAMES FINANCIAL SERVICES, INC., 880 CARILLON PA ST. PETERSBURG, FL 33716 USA
PENNY PENNINGTON	DIRECTOR	EDWARD JONES 12555 MANCHESTER RD ST LOUIS, MO 63131 USA
DEBORAH BAILEY	DIRECTOR	1200 CALIFORNIA STREET, APARTMENT 19C SAN FRANCISCO, CA 94109 USA
MOIRA KILCOYNE	DIRECTOR	83 RYERSON ROAD WARWICK, NY 10990 USA
NAUREEN HASSAN	DIRECTOR	1285 AVENUE OF THE AMERICAS, 14TH FLOOR NEW YORK, NY 10019 USA
DERRICK A ROMAN	DIRECTOR	1352 GALENA DRIVE, ROCHESTER HILLS, MI 48306 USA
GUS SAUTER	DIRECTOR	1465 EAVES SPRING DRIVE MALVERN, PA 19355 USA
CAMILLE M. BUSETTE	DIRECTOR	1775 MASSACHUSETTS AVE NW WASHINGTON, DC 20036 USA
TIMOTHY C SCHEVE	DIRECTOR	920 HIGH LAKE RD, SHARON, VT 05065 USA
PAIGE W PIERCE	DIRECTOR	6300 RIDGLEA PL SUITE 615 FORT WORTH,, TX 76116 USA
JOHN EHNES	DIRECTOR	1137 ALPINE WAY, LINCOLN, CA 95648 USA

Events

Type	Date	Old Value	New Value
Name Change	2008-01-04	NASD Regulation, Inc..	FINRA Regulation, Inc.

Filings

Number	Name	File Date
202452209680	Annual Report	2024-04-23
202335052190	Annual Report	2023-05-01
202216419890	Annual Report	2022-04-30
202198547930	Annual Report	2021-06-23
202043373170	Annual Report	2020-06-26

Date of last update: 19 May 2025

Sources: Rhode Island Department of State