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FINRA REGULATION, INC.

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Company Details

Name: FINRA REGULATION, INC.
Jurisdiction: Idaho
Legal type: Foreign Nonprofit Corporation
Status: Active-Good Standing
Date of registration: 10 Dec 1996 (28 years ago)
Financial Date End: 31 Dec 2025
Entity Number: 360662
Place of Formation: DELAWARE
File Number: 360662
Principal Address: 9509 KEY WEST AVENUE ATTN: FINANCE/TAX ROCKVILLE, MD 20850
Mailing Address: 1700 K STREET NW WASHINGTON, DC 20006

Agent

Name Role Address
CORPORATION SERVICE COMPANY Agent 1305 12TH AVE RD, NAMPA, ID 83686

Vice President

Name Role Address Appointed On Resigned On
BILL WOLLMAN EVP Vice President 1735 K STREET NW, WASHINGTON, DC 20006 2021-12-20 2023-12-01

Director

Name Role Address Appointed On Resigned On
AMY L WEBBER Director PLEASANT PLAIN ROAD, FAIRFIELD, IA 52556 2020-12-16 2021-12-20
CAMILLE M BUSSETTE Director 1775 MASSACHUSETTS AVENUE NW, WASHINGTON, DC 20036 2023-12-01 No data
MAUREEN JENSEN Director ONTARIO SECURITIES COMMISSION, , 2023-12-01 2023-12-01
PAIGE W PIERCE Director BLEY INVESTMENT GROUP 4900 GAGE AVENUE,, FORT WORTH, TX 76109 2023-12-01 2023-12-01
ERIC NOLL Director 401 E. CITY AVENUE #815, BALA CYNWYD, PA 19004 2023-12-01 2023-12-01
ETHIOPIS TAFARA Director 1818 H STREET NW, WASHINGTON, DC 20436 2023-12-01 2023-12-01
JOHN EHNES Director PO BOX 15275, SACRAMENTO, CA 95851 2023-12-01 2023-12-01
LANCE F. DRUMMOND Director 14263 NOLEN LANE, CHARLOTTE, NC 28277 2023-12-01 2023-12-01
ROBERT W COOK Director 1700 K STREET NW, WASHINGTON, DC 20006 2023-12-01 2023-12-01
TIMOTHY C SCHEVE Director 1717 ARCH STREET FL 22, PHILADELPHIA, PA 19103 2023-12-01 2023-12-01

President

Name Role Address Appointed On Resigned On
ROBERT W COOK President 1700 K STREET NW, WASHINGTON, DC 20006 2023-12-01 2023-12-01

Secretary

Name Role Address Appointed On Resigned On
MARCIA E. ASQUITH EVP Secretary 1735 K STREET NW, WASHINGTON, DC 20006 2023-12-01 2023-12-01

Treasurer

Name Role Address Appointed On Resigned On
TODD T DIGANCI EVP/CFO Treasurer 1700 K STREET NW, WASHINGTON, DC 20006 2023-12-01 2023-12-01

Filing

Filing Name Filing Number Filing date
Annual Report 0005994352 2024-11-26
Annual Report 0005492167 2023-12-01
Annual Report 0005038672 2022-12-27
Registered Agent Name/Address Change (mass change) 0004642985 2022-03-08
Annual Report 0004535459 2021-12-20

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Date of last update: 03 Jun 2025

Sources: Idaho Secretary of State