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Finra Regulation INC

Trade
DBA: % MARCIA E ASQUITH
Trade Association · ROCKVILLE, MD · EIN 52-1959501

Officers, Directors & Key Employees

Per Form 990 for fiscal year ending 2024-12-31
Compensation per 990 Part VII; rows marked “Sch J” include the Schedule J executive-comp breakdown for the same year.
NameTitleRole flagsHours/wkReportable compRelated compOther comp
Robert W Cook
Sch J: base $0 · related orgs $4.1M
President & CEO, ex officioOfficer60.0$0$3.5M$630K
Deborah BaileyRegulatory Policy Committee—2.0$0$100K$0
Eric W Noll
Sch J: base $0 · related orgs $176K
Regulatory Policy Committee, EX Officio—2.0$0$176K$0
Ethiopis TafaraRegulatory Policy Committee—2.0$0$958$0
James T CrowleyRegulatory Policy Committee—2.0$0$737$0
John B EhnesRegulatory Policy Committee - thru 9/11/24—2.0$0$86K$0
Lisa FairfaxRegulatory Policy Committee - THRU 4/5/24—2.0$0$50K$0
Maureen JensenCHAIR, Regulatory Policy Committee—2.0$0$119K$0
Moira a KilcoyneRegulatory Policy Committee—2.0$0$100K$0
Paige W PierceRegulatory Policy Committee - THRU 9/11/24—2.0$0$77K$0
Scott CurtisRegulatory Policy Committee—2.0$0$105K$0
Timothy C ScheveRegulatory Policy Committee - THRU 9/11/24—2.0$0$89K$0
Wendy LantonRegulatory Policy Committee - As of 12/5/24—2.0$0$104K$0
Gregory Ruppert
Sch J: base $0 · related orgs $1.7M
Executive VICE PresidentOfficer60.0$0$1.5M$214K
Marcia E Asquith
Sch J: base $0 · related orgs $1.1M
EVP, Board & External RelationsOfficer60.0$0$994K$141K
Richard W Berry
Sch J: base $0 · related orgs $1.1M
Executive Vice PresidentOfficer60.0$0$1.1M$67K
Robert L D Colby
Sch J: base $0 · related orgs $1.5M
EVP And Chief Legal OfficerOfficer60.0$0$1.5M$63K
Stephanie Dumont
Sch J: base $0 · related orgs $1.3M
Executive VICE PresidentOfficer60.0$0$1.1M$156K
Todd T Diganci
Sch J: base $0 · related orgs $2.4M
Executive Vice President/CFAOOfficer60.0$0$1.7M$631K
William St Louis
Sch J: base $0 · related orgs $1.1M
Executive VICE PresidentOfficer60.0$0$930K$174K