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.
Annual Financial Reports
2024 FINRA Annual Financial Report
FINRA's annual report describes its finances and operations over the prior year.
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Fines Reports
Report on Use of 2024 Fine Monies
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.
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Budget Summaries
2025 FINRA Budget
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.
- Projects operating revenue of $1,461 million
- Anticipates initiative spending of $140 million, including Carryover and New Initiatives
- Projects an increase in operating expenses over 2024 budgeted levels
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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.
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