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FINRA REGULATION, INC.

Company Details

Entity Name: FINRA REGULATION, INC.
Jurisdiction: Connecticut
Legal type: Stock
Citizenship: Foreign
Status: Active
Sub status: Annual report due
Date Formed: 10 Dec 1996
Business ALEI: 0549538
Annual report due: 10 Dec 2024
NAICS code: 812990 - All Other Personal Services
Business address: 1700 K STREET, NW, WASHINGTON, DC, 20006, United States
Mailing address: 1700 K STREET, NW, WASHINGTON, DC, United States, 20006
Place of Formation: DELAWARE
E-Mail: Compliancemail@cscinfo.com

Agent

Name Role
CORPORATION SERVICE COMPANY Agent

Officer

Name Role Business address Residence address
TODD T DIGANCI Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K STREET, NW, WASHINGTON, DC, 20006, United States
MARCIA E ASQUITH Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K STREET, NW, WASHINGTON, DC, 20006, United States
ROBERT W COOK Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K STREET, NW, WASHINGTON, DC, 20006, United States

Director

Name Role Business address Residence address Residence international address
MORTIMER J. BUCKLEY Director No data 100 VANGUARD BLVD, MALVERN, PA, 19355, United States No data
CAMILLE M BUSETTE Director 1775 MASSACHUSETTS AVENUE NW, WASHINGTON, DC, 20036, United States 1775 MASSACHUSETTS AVENUE NW, WASHINGTON, DC, 20036, United States No data
MAUREEN JENSEN Director TORONTO , TORONTO, Canada ONTARIO SECURITIES COMMISSION 117 CAMERON STREET THORNBURY ONTARIO N0H 2P0
LANCE F. DRUMMOND Director 14263 NOLEN LANE, CHARLOTTE, NC, 28277, United States 14263 NOLEN LANE, CHARLOTTE, NC, 28277, United States No data
JOHN EHNES Director 1735 K STREET, NW, WASHINGTON, DC, 20006, United States 1735 K STREET, NW, WASHINGTON, DC, 20006, United States No data
Fabiola Arredondo Director Siempre Holdings, 115 Mason St, Greenwich, CT, 06830, United States 115 Mason St, Siempre Holdings, Greenwich, CT, 06830, United States No data
TIMOTHY C. SCHEVE Director 1717 ARCH ST, FL 22, PHILADELPHIA, PA, 19103, United States 1717 ARCH ST, FL 22, PHILADELPHIA, PA, 19103, United States No data
WENDY LANTON Director 35 PINELAWN ROAD, SUITE 101E, MELVILLE, NY, 11747, United States 35 PINELAWN ROAD, SUITE 101E, MELVILLE, NY, 11747, United States No data
LINDE MURPHY Director 950 EAST BASSE ROAD, SECOND FLOOR, SAN ANTONIO, TX, 78209, United States 950 EAST BASSE ROAD, SECOND FLOOR, SAN ANTONIO, TX, 78209, United States No data
DEBORAH BAILEY Director No data 1200 CALIFORNIA STREET, APT 19C, SAN FRANCISCO, CA, 94109, United States No data

History

Type Old value New value Date of change
Name change NASD REGULATION, INC. FINRA REGULATION, INC. 2008-01-03

Filing

Filing number Filing date Effective date Filing category Filing type Report year
BF-0011262676 2023-12-01 No data Annual Report Annual Report No data
BF-0010321000 2022-12-27 No data Annual Report Annual Report 2022
BF-0010458174 2022-01-14 2022-01-14 Mass Agent Change � Address Agent Address Change No data
BF-0009828048 2021-12-20 No data Annual Report Annual Report No data
0007039913 2020-12-16 No data Annual Report Annual Report 2020
0006943532 2020-07-06 2020-07-06 Change of Agent Address Agent Address Change No data
0006950703 2020-07-06 2020-07-06 Change of Agent Address Agent Address Change No data
0006690169 2019-12-03 No data Annual Report Annual Report 2019
0006290245 2018-12-11 No data Annual Report Annual Report 2018
0005981730 2017-12-08 No data Annual Report Annual Report 2017

Date of last update: 25 Nov 2024

Sources: Connecticut's Official State Website