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Compensation 990 is an independent service that uses public IRS Form 990 filings as its source data. We clean and standardize this information, but the original filings may contain errors or omissions. Years on this site refer to the organization’s fiscal year end date on the filing.

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Organizations Financial Industry Regulatory Authority Inc

Financial Industry Regulatory Authority Inc

Fiscal year ending 2018. Filed on November 15, 2019.

1735 K Street NW
Washington, District of Columbia 20006

Financial Industry Regulatory Authority Inc (EIN: 53-0088710) has filed an IRS Form 990 since at least fiscal year 2016. In its fiscal year 2018 IRS Form 990 filing, Financial Industry Regulatory Authority Inc, a 501(c)(6) business league, reported compensation for 41 out of 3,899 total employees. Among the employees shown here, the average compensation is $587,123. The highest compensated employee at Financial Industry Regulatory Authority Inc is Robert W Cook with fiscal year 2018 compensation of $2,880,372.

Revenue, expenses, and employee compensation

Revenue

$1,246,962,010

Expenses

$1,407,556,901

Employee compensation

$684,843,118
Revenue, expenses, and employee compensation over time

Reported Compensated Employees

Robert W Cook
President and Chief Executive Officer
$2,880,372
$2,358,157 No related comp$522,215
Susan F Axelrod
Executive Vice President
$2,376,901
$2,350,790 No related comp$26,111
Todd T Diganci
Executive VICE President/Cfao
$1,573,934
$1,424,690 No related comp$149,244
Daniel Sibears - Thru 123017
Executive Vice President
$1,552,640
$1,552,639 No related comp$1
Steven J Randich
Executive Vice President and Chief Information Officer
$1,550,333
$1,379,073 No related comp$171,260
Robert Ld Colby
Executive Vice President and Chief Legal Officer
$1,122,689
$1,047,722 No related comp$74,967
Susan M Schroeder
Executive Vice President
$965,338
$806,717 No related comp$158,621
Thomas R Gira
Executive Vice President
$923,680
$866,165 No related comp$57,515
Marcia E Asquith
Executive Vice President Board and External Relations
$900,048
$750,633 No related comp$149,415
William J Wollman
Executive Vice President
$866,393
$731,817 No related comp$134,576
Michael G Rufino
Executive Vice President
$858,639
$742,261 No related comp$116,378
Richard W Berry
Executive Vice President
$856,539
$803,556 No related comp$52,983

Benchmark Employee Compensation

Non-Employee Board Members

Timothy C Scheve
Board Member - AS of 4/16/18
$42,665
$42,665 No related compNo other comp
John B Ehnes
Board Member - AS of 8/29/18
$42,665
$42,665 No related compNo other comp
James Nagengast
Board Member - AS of 6/29/18
$42,665
$42,665 No related compNo other comp
John W Thiel
Board Member - THRU 1/15/18
$20,000
$20,000 No related compNo other comp
Stephen M Cutler
Board Member - THRU 3/30/18
No compensation reported
Lance Drummond
Board Member - AS of 12/13/18
No compensation reported

Contractors

Amazon Web Services
Hosting
$21,000,000
Nasdaq Technology Ab
Hosting
$15,819,293
Tek Systems
Consulting
$12,096,179
Prometric Inc.
Testing
$11,723,217
Compugain Corporation
Consulting
$5,148,496

Mission Statement

FINRA's mission is to protect investors and safeguard the integrity of our vibrant capital markets to ensure that everyone can invest with confidence.

Revisions to this organization profile

November 17, 2025:
2024 Financial Industry Regulatory Authority Inc 990 filed
November 15, 2024:
2023 Financial Industry Regulatory Authority Inc 990 filed
November 15, 2023:
2022 Financial Industry Regulatory Authority Inc 990 filed

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