Financial Reports and Policies
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.
On This Page
- Annual Reports Updated
- Fines Reports Updated
- Annual Budgets Updated
- Financial Policies
Annual Reports
FINRA’s annual reports describe its finances and operations over the prior year.
Download the 2023 Annual Financial Report
Previous Annual Reports
- 2022 FINRA Annual Financial Report
- 2021 FINRA Annual Financial Report
- 2020 FINRA Annual Financial Report
- 2019 FINRA Annual Financial Report
- 2018 FINRA Annual Financial Report
- 2017 FINRA Annual Financial Report
- 2016 Annual Financial Report
- 2015 FINRA Year in Review and Annual Financial Report
- 2014 FINRA Year in Review and Annual Financial Report
- 2013 FINRA Year in Review and Annual Financial Report
- 2012 FINRA Year in Review and Annual Financial Report
- 2011 FINRA Year in Review and Annual Financial Report
- 2010 FINRA Year in Review and Annual Financial Report
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.
View the Report on Use of 2023 Fine Monies
Previous Fines Reports
- Report on Use of 2022 Fine Monies
- Report on Use of 2021 Fine Monies
- Report on Use of 2020 Fine Monies
- Report on Use of 2019 Fine Monies
- Report on Use of 2018 Fine Monies
- Interim Report on Use of 2017 Fine Monies
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
Download the 2024 FINRA Budget
Previous Budgets
- FINRA 2023 Annual Budget Summary
- FINRA 2022 Annual Budget Summary
- FINRA 2021 Annual Budget Summary
- FINRA 2020 Annual Budget Summary
- FINRA 2019 Annual Budget Summary
- FINRA 2018 Annual Budget Summary
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.
