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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
Principal Address: 1700 K STREET NW, WASHINGTON, DC, 20006, USA
Purpose: AN INDEPENDENT SUBSIDIARY OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NAICS: 926150 - Regulation, Licensing, and Inspection of Miscellaneous Commercial Sectors
Historical names: NASD Regulation, Inc..

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
JAMES D NAGENGAST DIRECTOR 12325 PORT GRACE BLVD LA VISTA, NE 68128 USA
SAMIR DESHPANDE DIRECTOR 500 W MAIN STREET LOUISVILLE, KY 40202 USA
CAMILLE M. BUSETTE DIRECTOR 1775 MASSACHUSETTS AVE NW WASHINGTON, DC 20036 USA
ERIC NOLL DIRECTOR 401 E. CITY AVENUE #815 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

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
201999260310 Annual Report 2019-06-25
201869898450 Annual Report 2018-06-18
201745907090 Annual Report 2017-06-21
201699937260 Annual Report 2016-06-07
201564735050 Annual Report - Amended 2015-07-10

Date of last update: 08 Oct 2024

Sources: Rhode Island Department of State