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FINRA REGULATION INC
FINRA REGULATION INC
MD · EIN 521959501
72
Executives Disclosed
$1354.0M
Annual Revenue
$94.1M
Total Assets
3.6:1
Internal Pay Ratio
FINRA REGULATION INC has 72 executives with disclosed compensation. The highest-paid executive, Robert W Cook (President & CEO, ex officio), received peak total compensation of $4,276,717.
Top Executive Compensation Over Time
Executive Compensation
| Name | Title | Peak Comp. | Latest Comp. | Years | vs. Household |
|---|---|---|---|---|---|
| Robert W Cook | President & CEO, ex officio | $4.3M | $4.1M | 2016–2024 | 57x |
| Thomas R Gira | Executive Vice President | $2.9M | $1.5M | 2016–2020 | 39.1x |
| Richard G Ketchum | PRESIDENT & CEO - THRU 8/14/16 | $2.8M | $2.8M | 2016–2016 | 36.9x |
| Susan F Axelrod | EXECUTIVE VICE PRESIDENT | $2.7M | $2.4M | 2016–2018 | 35.7x |
| Todd T Diganci | Executive Vice President/CFAO | $2.7M | $2.4M | 2016–2024 | 35.5x |
| Thomas M Selman | Executive Vice President | $2.5M | $2.5M | 2016–2020 | 32.7x |
| Gregory Ruppert | EXECUTIVE VICE PRESIDENT | $1.7M | $1.7M | 2021–2024 | 22.4x |
| Steven J Randich | Executive Vice President & CIO | $1.7M | $1.7M | 2016–2020 | 22.1x |
| Bari M Havlik | Executive Vice President | $1.5M | $1.0M | 2019–2022 | 20.6x |
| Robert L D Colby | EVP And Chief Legal Officer | $1.5M | $1.5M | 2016–2024 | 20.3x |
| F Gregory Ahern | EXECUTIVE VICE PRESIDENT | $1.4M | $1.4M | 2016–2016 | 19.1x |
| Marcia E Asquith | EVP, Board & External Relations | $1.3M | $1.1M | 2016–2024 | 17.2x |
| J Bradley Bennett | EXECUTIVE VICE PRESIDENT | $1.3M | $558K | 2016–2017 | 17.2x |
| Steven A Joachim | EXECUTIVE VICE PRESIDENT | $1.3M | $1.3M | 2016–2017 | 16.9x |
| Stephanie Dumont | EXECUTIVE VICE PRESIDENT | $1.3M | $1.3M | 2022–2024 | 16.9x |
| Stephen M Schoeneman | Senior Vice President | $1.3M | $896K | 2016–2020 | 16.8x |
| Robert Ld Colby | EVP And Chief Legal Officer | $1.2M | $1.2M | 2019–2020 | 16.6x |
| Jessica Hopper | Executive Vice President | $1.2M | $1.2M | 2021–2022 | 16.4x |
| Carlo V Di Florio | Executive Vice President | $1.2M | $1.2M | 2019–2019 | 16.3x |
| William St Louis | EXECUTIVE VICE PRESIDENT | $1.2M | $1.1M | 2023–2024 | 16.1x |
| Derek W Linden | Executive Vice President | $1.2M | $690K | 2016–2020 | 15.5x |
| Richard W Berry | Executive Vice President | $1.1M | $1.1M | 2016–2024 | 15.3x |
| Carlo Di Florio | EXECUTIVE VICE PRESIDENT | $1.1M | $844K | 2016–2018 | 14.8x |
| Susan M Schroeder | Executive Vice President | $1.0M | $282K | 2019–2020 | 13.7x |
| Susan M Schroeder - As Of 918 | EXECUTIVE VICE PRESIDENT | $965K | $965K | 2018–2018 | 12.9x |
| Richard G Ketchum Fmr | PRESIDENT & CEO | $941K | $941K | 2017–2017 | 12.5x |
| Tracy B Johnson | Senior Vice President | $923K | $923K | 2016–2019 | 12.3x |
| Marcia A Asquith | EVP, BOARD & EXTERNAL RELATIOS | $900K | $900K | 2018–2018 | 12x |
| Jonathan S Sokobin | Senior Vice President | $821K | $736K | 2016–2020 | 10.9x |
| Bari M Havlik - As Of 918 | EXECUTIVE VICE PRESIDENT | $548K | $548K | 2018–2018 | 7.3x |
| Eric W Noll | REGULATORY POLICY COMMITTEE, EX OFFICIO | $176K | $176K | 2022–2024 | 2.3x |
| Eileen K Murray | REGULATORY POLICY COMMITTEE - THRU 8/19/22 | $146K | $0 | 2021–2022 | 1.9x |
| William H Heyman | Reg Policy Committee THRU 8/20 | $142K | $0 | 2017–2020 | 1.9x |
| Maureen Jensen | CHAIR, Regulatory Policy Committee | $119K | $0 | 2020–2024 | 1.6x |
| John J Brennan | REGULATORY POLICY COMMITTEE | $113K | $0 | 2016–2016 | 1.5x |
| John B Ehnes | Regulatory Policy Committee - thru 9/11/24 | $113K | $0 | 2019–2024 | 1.5x |
| Timothy C Scheve | Regulatory Policy Committee - THRU 9/11/24 | $113K | $0 | 2019–2024 | 1.5x |
| Scott Curtis | REGULATORY POLICY COMMITTEE | $105K | $0 | 2023–2024 | 1.4x |
| Wendy Lanton | REGULATORY POLICY COMMITTEE - AS OF 12/5/24 | $104K | $0 | 2024–2024 | 1.4x |
| Paige W Pierce | REGULATORY POLICY COMMITTEE - THRU 9/11/24 | $103K | $0 | 2019–2024 | 1.4x |
| Hillary A Sale | Chair, Regulatory Policy CommITTE - THRU 8/19/22 | $101K | $0 | 2017–2022 | 1.4x |
| Elisse B Walter | Chair, REG POLICY COMMITTEE THRU 8/20 | $101K | $0 | 2016–2020 | 1.3x |
| Joshua S Levine | Reg Policy Committee THRU 8/20 | $101K | $0 | 2017–2020 | 1.3x |
| Susan Wolburgh Jenah | Reg Policy CommITTEE THRU 8/20 | $101K | $0 | 2017–2020 | 1.3x |
| Kathleen A Murphy | Reg Policy Committee - THRU 8/21 | $101K | $0 | 2016–2021 | 1.3x |
| Moira A Kilcoyne | REGULATORY POLICY COMMITTEE | $100K | $0 | 2022–2024 | 1.3x |
| Deborah Bailey | REGULATORY POLICY COMMITTEE | $100K | $0 | 2021–2024 | 1.3x |
| Leslie F Seidman | Regulatory Policy Committee | $99K | $0 | 2016–2019 | 1.3x |
| Stephen A Kohn | Reg Policy Committee THRU 8/20 | $91K | $0 | 2017–2020 | 1.2x |
| Peter R Fisher | Reg Policy Committee - THRU 10/21 | $91K | $0 | 2020–2021 | 1.2x |
| Charles I Plosser | Reg Policy Committee - THRU 8/21 | $91K | $0 | 2020–2021 | 1.2x |
| Hilary A Sale | Regulatory Policy Committee | $90K | $0 | 2019–2019 | 1.2x |
| Brian J Kovack | Reg Policy Committee - THRU 8/21 | $90K | $0 | 2017–2021 | 1.2x |
| Randal K Quarles | REGULATORY POLICY CMTE PART-YR | $87K | $0 | 2016–2016 | 1.2x |
| Robert A Muh | Regulatory Policy Committee | $85K | $0 | 2016–2019 | 1.1x |
| John J Brennan - Thru 822 | REGULATORY POLICY COMMITTEE | $85K | $0 | 2017–2017 | 1.1x |
| Stephan A Kohn | REGULATORY POLICY COMMITTEE | $83K | $0 | 2018–2018 | 1.1x |
| Brigitte C Madrian | Regulatory Policy Committee | $83K | $0 | 2016–2019 | 1.1x |
| Mark W Cresap | REGULATORY POLICY COMMITTEE | $81K | $0 | 2016–2016 | 1.1x |
| Joseph Romano | REGULATORY POLICY COMMITTEE | $81K | $0 | 2016–2016 | 1.1x |
| Joseph Rv Romano | REGULATORY POLICY COMMITTEE | $80K | $0 | 2017–2017 | 1.1x |
| Susan Wolburgh-Jenah | REGULATORY POLICY COMMITTEE | $80K | $0 | 2016–2016 | 1.1x |
| Lisa Fairfax | REGULATORY POLICY COMMITTEE - THRU 4/5/24 | $76K | $0 | 2023–2024 | 1x |
| Hillary Sale | REGULATORY POLICY COMMITTEE | $75K | $0 | 2016–2016 | 1x |
| Randal K Quarles - Thru 109 | REGULATORY POLICY COMMITTEE | $69K | $0 | 2017–2017 | 0.9x |
| Joseph Rv Romano - Thru 818 | REGULATORY POLICY COMMITTEE | $61K | $0 | 2018–2018 | 0.8x |
| Mark W Cresap - Thru 822 | REGULATORY POLICY COMMITTEE | $60K | $0 | 2017–2017 | 0.8x |
| John B Ehnes - As Of 818 | REGULATORY POLICY COMMITTEE | $43K | $0 | 2018–2018 | 0.6x |
| Timothy C Scheve - As Of 418 | REGULATORY POLICY COMMITTEE | $43K | $0 | 2018–2018 | 0.6x |
| Ethiopis Tafara | Regulatory Policy Committee | $1K | $0 | 2020–2024 | 0x |
| Kathryn Ruemmler | REGULATORY POLICY COMMITTEE - THRU 9/6/23 | $972 | $0 | 2021–2023 | 0x |
| James T Crowley | REGULATORY POLICY COMMITTEE | $737 | $0 | 2023–2024 | 0x |
Annual Summary
| Year | Executives | Avg. Comp. | Highest Comp. | Total Payroll |
|---|---|---|---|---|
| 2016 | 29 | $1.2M | $2.9M | $22.2M |
| 2017 | 32 | $1.1M | $2.7M | $18.4M |
| 2018 | 30 | $1.1M | $2.9M | $18.0M |
| 2019 | 29 | $1.5M | $3.6M | $22.7M |
| 2020 | 28 | $1.4M | $3.1M | $17.8M |
| 2021 | 21 | $1.6M | $4.2M | $12.8M |
| 2022 | 19 | $1.5M | $4.3M | $13.2M |
| 2023 | 19 | $1.6M | $3.8M | $14.2M |
| 2024 | 20 | $1.6M | $4.1M | $14.5M |
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