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Financial Reports and Policies

financials

As a not-for-profit, self-regulatory organization whose operations are funded by member firm fees—without the support of any taxpayer dollars—FINRA must prudently manage its finances to ensure it can appropriately fund its mission to protect investors and promote market integrity in a manner that facilitates vibrant capital markets.

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Annual Reports


FINRA’s annual reports describe its finances and operations over the prior year.

Previous Annual Reports

Fines Reports


FINRA uses fines to promote compliance and improve markets. On an annual basis, FINRA itemizes and discloses how it uses fine monies it collected in the previous year.

Previous Fines Reports

Annual Budgets


FINRA’s annual budgets are designed to meet the evolving challenges posed by FINRA’s ongoing regulatory responsibilities in ways that reflect the Financial Guiding Principles.

2024 Budget at a Glance

  • Projects operating revenue of $1,333 million
  • Anticipates initiative spending of $150 million, including Carryover and New Initiatives
  • Projects an increase in operating expenses over 2023 budgeted levels
2024 Annual Budget Summary

Download the 2024 FINRA Budget

Previous Budgets

Financial Policies


FINRA’s Financial Guiding Principles governs how FINRA funds its mission, manages expenses, maintains reasonable member firm fees, uses fine monies and sustains appropriate financial reserves.