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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 Finra Regulation Inc.

Finra Regulation Inc.

Fiscal year ending 2020. Filed on November 15, 2021.

9509 Key West Avenue
Rockville, Maryland 20850

Finra Regulation Inc. (EIN: 52-1959501) has filed an IRS Form 990 since at least fiscal year 2016. In its fiscal year 2020 IRS Form 990 filing, Finra Regulation Inc., a 501(c)(6) business league, reported compensation for 13 employees. Among the employees shown here, the average compensation is $1,369,182. The highest compensated employee at Finra Regulation Inc. is Robert W Cook with fiscal year 2020 compensation of $3,119,563.

Revenue, expenses, and employee compensation

Revenue

$964,459,237

Expenses

$634,634,476

Employee compensation

$0
Revenue, expenses, and employee compensation over time

Reported Compensated Employees

Robert W Cook
President and Chief Executive Officer
$3,119,563
$0 $2,546,014 $573,549
Thomas M Selman
Executive Vice President
$2,454,038
$0 $2,427,700 $26,338
Todd T Diganci
Executive Vice President/Cfao
$1,732,625
$0 $1,632,643 $99,982
Steven J Randich
Executive Vice President and Chief Information Officer
$1,654,667
$0 $1,478,133 $176,534
Thomas R Gira
Executive Vice President
$1,497,081
$0 $870,774 $626,307
Bari M Havlik
Executive Vice President
$1,312,861
$0 $1,140,073 $172,788
Robert Ld Colby
Executive Vice President and Chief Legal Officer
$1,243,031
$0 $1,193,369 $49,662
Marcia E Asquith
Executive Vice President, Board and External Relations
$1,096,716
$0 $844,170 $252,546
Richard W Berry
Exective Vice President
$1,084,809
$0 $677,410 $407,399
Stephen M Schoeneman
Senior Vice President
$895,646
$0 $870,162 $25,484
Derek W Linden
Executive Vice President
$745,187
$0 $745,187 No other comp
Jonathan S Sokobin
Senior Vice President
$736,287
$0 $595,433 $140,854

Benchmark Employee Compensation

Non-Employee Board Members

William H Heyman
Reg Policy Committee THRU 8/20
$111,267
$0 $111,267 No other comp
John B Ehnes
Regulatory Policy Committee
$100,624
$0 $100,624 No other comp
Kathleen A Murphy
Regulatory Policy Committee
$100,624
$0 $100,624 No other comp
Hillary A Sale
Chair, Reg Policy Committee AS of 8/20
$95,624
$0 $95,624 No other comp
Timothy C Scheve
Regulatory Policy Committee
$95,624
$0 $95,624 No other comp
Charles I Plosser
Regulatory Policy Committee
$90,624
$0 $90,624 No other comp
Peter R Fisher
Regulatory Policy Committee
$90,624
$0 $90,624 No other comp
Paige W Pierce
Regulatory Policy Committee
$90,624
$0 $90,624 No other comp
Brian J Kovack
Regulatory Policy Committee
$90,206
$0 $90,206 No other comp
Susan Wolburgh Jenah
Reg Policy Committee THRU 8/20
$76,312
$0 $76,312 No other comp
Elisse B Walter
Chair, REG Policy Committee THRU 8/20
$76,308
$0 $76,308 No other comp
Joshua S Levine
Reg Policy Committee THRU 8/20
$76,183
$0 $76,183 No other comp

Contractors

Financial Industry Regulatory Authority
Management/Admin
$450,627,929

Mission Statement

FINRA REGULATION'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 16, 2025:
2024 Finra Regulation Inc. 990 filed
November 15, 2024:
2023 Finra Regulation Inc. 990 filed
November 15, 2023:
2022 Finra Regulation Inc. 990 filed

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