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FINRA
FINRA Employees Retirement Plan was established in 1954. It operates as a defined-benefit arrangement that covers eligible employees of the Financial Industry...
FINRA
FINRA Employees Retirement Plan was established in 1954. It operates as a defined-benefit arrangement that covers eligible employees of the Financial Industry Regulatory Authority. The plan allocates 19 percent to private equity. Its reserve portfolio holds fixed income securities, commingled equity funds, and pooled investment vehicles. Geographic exposure centers on the United States with additional holdings in global markets through commingled structures. The plan reports 528 million dollars in assets. FINRA maintains the FINRA Investor Education Foundation, established in 2003, which has distributed grants totaling over 500 thousand dollars annually to libraries and nonprofits. Governance ties the plan directly to FINRA's Board of Governors and Investment Committee, with oversight from the U.S. Securities and Exchange Commission.
General information
Firm type
Pension Fund
Year founded
1954
Location
Region
North America
Country
United States
City
Washington
Corporate office
1700 K Street Northwest, Washington, DC 20006, United States
Principals
Robert Cook
President and CEO
Sector focus
Frequently asked questions
Who runs investment decisions at FINRA Employees Retirement Plan?
Robert Cook serves as President and CEO. The Investment Committee includes Gus Sauter, former Vanguard CIO.
What asset classes does the plan hold?
The plan allocates to private equity at 19 percent. The reserve portfolio contains fixed income, equities, and pooled funds.
How is the plan related to FINRA operations?
The plan provides benefits exclusively to eligible FINRA employees and is governed by the same Board of Governors.
Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.
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