| Name: | FINRA REGULATION, INC. |
| Legal type: | Foreign Corporation |
| Status: | Active |
| Standing: | Good |
| Profit or Non-Profit: | Non-profit |
| File Date: | 16 Dec 1997 (27 years ago) |
| Authority Date: | 16 Dec 1997 (27 years ago) |
| Last Annual Report: | 20 May 2024 (10 months ago) |
| Organization Number: | 0442924 |
| Industry: | Membership Organizations |
| Number of Employees: | Small (0-19) |
| Principal Office: | 1700 K. STREET NW, WASHINGTON, DC 20006 |
| Place of Formation: | DELAWARE |
| Name | Role |
|---|---|
| CORPORATION SERVICE COMPANY | Registered Agent |
| Name | Role |
|---|---|
| MARCIA E. ASQUITH | Secretary |
| Name | Role |
|---|---|
| CAMILLE M BUSSETTE | Director |
| MORTIMER J. BUCKLEY | Director |
| SAMIR DESHPANDE | Director |
| Naureen Hassan | Director |
| Derrick A Roman | Director |
| Gus Sauter | Director |
| Scott Curtis | Director |
| Lisa Fairfax | Director |
| MARY L. SHAPIRO | Director |
| JOAN C. CONLEY | Director |
| Name | Role |
|---|---|
| ROBERT W. COOK | President |
| Name | Role |
|---|---|
| TODD T. DIGANCI | Treasurer |
| Name | Action |
|---|---|
| NASD REGULATION, INC. | Old Name |
| Name | File Date |
|---|---|
| Annual Report | 2024-05-20 |
| Principal Office Address Change | 2024-05-20 |
| Annual Report | 2023-06-12 |
| Annual Report | 2022-06-22 |
| Annual Report | 2021-06-17 |
| Annual Report | 2020-06-26 |
| Annual Report | 2019-06-24 |
| Annual Report | 2018-06-18 |
| Annual Report | 2017-05-24 |
| Annual Report | 2016-06-06 |
Sources: Kentucky Secretary of State
