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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 2022. Filed on November 15, 2023.

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 2022 IRS Form 990 filing, Finra Regulation Inc., a 501(c)(6) business league, reported compensation for 9 employees. Among the employees shown here, the average compensation is $1,471,534. The highest compensated employee at Finra Regulation Inc. is Robert W Cook with fiscal year 2022 compensation of $4,276,717.

Revenue, expenses, and employee compensation

Revenue

$1,039,482,542

Expenses

$693,480,189

Employee compensation

$0
Revenue, expenses, and employee compensation over time

Reported Compensated Employees

Robert W Cook
President and Chief Executive Officer
$4,276,717
$0 $4,062,829 $213,888
Todd T Diganci
Executive Vice President/Cfao
$2,146,292
$0 $2,146,292 No other comp
Robert L D Colby
Executive Vice President and Chief Legal Officer
$1,395,157
$0 $1,313,006 $82,151
Marcia E Asquith
Executive Vice President, Board and External Relations
$1,259,406
$0 $1,199,500 $59,906
Gregory Ruppert
Executive Vice President
$1,245,364
$0 $1,054,437 $190,927
Stephanie Dumont
Executive Vice President
$1,232,275
$0 $1,174,147 $58,128
Jessica Hopper
Executive Vice President
$1,169,798
$0 $986,749 $183,049
Bari M Havlik
Executive Vice President
$1,011,408
$0 $845,871 $165,537
Richard W Berry
Executive Vice President
$877,838
$0 $733,828 $144,010

Benchmark Employee Compensation

Non-Employee Board Members

Eric W Noll
Regulatory Policy Committee - AS of 8/19/22
$143,187
$0 $143,187 No other comp
Eileen K Murray
Regulatory Policy Committee - THRU 8/19/22
$117,495
$0 $117,495 No other comp
John B Ehnes
Regulatory Policy Committee
$113,187
$0 $113,187 No other comp
Timothy C Scheve
Regulatory Policy Committee
$113,187
$0 $113,187 No other comp
Maureen Jensen
Chair, Regulatory Policy Committee - AS of 8/20/22
$103,812
$0 $103,812 No other comp
Deborah Bailey
Regulatory Policy Committee
$100,403
$0 $100,403 No other comp
Paige W Pierce
Regulatory Policy Committee
$100,403
$0 $100,403 No other comp
Hillary A Sale
Chair, Regulatory Policy Committe - THRU 8/19/22
$86,490
$0 $86,490 No other comp
Moira A Kilcoyne
Regulatory Policy Committee - AS of 8/19/22
$50,687
$0 $50,687 No other comp
Ethiopis Tafara
Regulatory Policy Committee
$687
$0 $687 No other comp
Kathryn Ruemmler
Regulatory Policy Committee
No compensation reported
James T Crowley
Regulatory Policy Committee - AS of 3/10/22
No compensation reported

Contractors

Financial Industry Regulatory Authority
Management/Admin
$439,902,190

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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