TY 2019 Form 990 Schedule J

(A) Name and Title		(B) Breakdown of W-2 and/or 1099-MISC compensation			(C) Retirement and other deferred compensation	(D) Nontaxable benefits	(E) Total of columns (B)(i)-(D)	(F) Compensation in column (B) reported as deferred on prior Form 990
(A) Name and Title		(i) Base compensation	(ii) Bonus & incentive compensation	(iii) Other reportable compensation	(C) Retirement and other deferred compensation	(D) Nontaxable benefits	(E) Total of columns (B)(i)-(D)
1Robert W Cook President & CEO	(i) (ii)	0 ------------- 980,673	0 ------------- 1,500,000	0 ------------- 914,170	0 ------------- 236,400	0 ------------- 17,067	0 ------------- 3,648,310	0 ------------- 490,018
2Marcia E Asquith EVP, Board & External Relations	(i) (ii)	0 ------------- 354,151	0 ------------- 400,000	0 ------------- 308,114	0 ------------- 196,037	0 ------------- 31,001	0 ------------- 1,289,303	0 ------------- 148,274
3Richard W Berry Exective Vice President	(i) (ii)	0 ------------- 298,280	0 ------------- 302,000	0 ------------- 22,062	0 ------------- 389,173	0 ------------- 46,106	0 ------------- 1,057,621	0 ------------- 0
4Robert LD Colby EVP And Chief Legal Officer	(i) (ii)	0 ------------- 476,264	0 ------------- 500,000	0 ------------- 134,646	0 ------------- 36,400	0 ------------- 15,982	0 ------------- 1,163,292	0 ------------- 0
5Todd T Diganci Executive Vice President/CFAO	(i) (ii)	0 ------------- 573,483	0 ------------- 685,000	0 ------------- 25,628	0 ------------- 1,327,263	0 ------------- 51,819	0 ------------- 2,663,193	0 ------------- 0
6Thomas R Gira Executive Vice President	(i) (ii)	0 ------------- 441,938	0 ------------- 470,000	0 ------------- 17,390	0 ------------- 929,719	0 ------------- 41,689	0 ------------- 1,900,736	0 ------------- 0
7Bari M Havlik Executive Vice President	(i) (ii)	0 ------------- 480,163	0 ------------- 475,000	0 ------------- 4,741	0 ------------- 140,139	0 ------------- 30,400	0 ------------- 1,130,443	0 ------------- 0
8Susan M Schroeder Executive Vice President	(i) (ii)	0 ------------- 395,398	0 ------------- 450,000	0 ------------- 22,039	0 ------------- 123,605	0 ------------- 36,686	0 ------------- 1,027,728	0 ------------- 0
9Carlo V di Florio Executive Vice President	(i) (ii)	0 ------------- 306,420	0 ------------- 225,000	0 ------------- 624,779	0 ------------- 36,400	0 ------------- 31,634	0 ------------- 1,224,233	0 ------------- 0
10Tracy B Johnson Senior Vice President	(i) (ii)	0 ------------- 77,826	0 ------------- 248,000	0 ------------- 565,653	0 ------------- 28,023	0 ------------- 3,944	0 ------------- 923,446	0 ------------- 0
11Steven J Randich Executive Vice President & CIO	(i) (ii)	0 ------------- 475,398	0 ------------- 580,000	0 ------------- 25,592	0 ------------- 243,302	0 ------------- 27,306	0 ------------- 1,351,598	0 ------------- 0
12Stephen M Schoeneman Senior Vice President	(i) (ii)	0 ------------- 316,573	0 ------------- 265,000	0 ------------- 97,864	0 ------------- 543,113	0 ------------- 39,650	0 ------------- 1,262,200	0 ------------- 0
13Thomas M Selman Executive Vice President	(i) (ii)	0 ------------- 342,274	0 ------------- 347,000	0 ------------- 25,247	0 ------------- 1,343,472	0 ------------- 26,197	0 ------------- 2,084,190	0 ------------- 0
14Jonathan S Sokobin Senior Vice President	(i) (ii)	0 ------------- 292,831	0 ------------- 250,000	0 ------------- 192,654	0 ------------- 36,400	0 ------------- 49,346	0 ------------- 821,231	0 ------------- 96,962
15Derek W Linden Executive Vice President	(i) (ii)	0 ------------- 349,388	0 ------------- 345,000	0 ------------- 12,404	0 ------------- 429,736	0 ------------- 26,393	0 ------------- 1,162,921	0 ------------- 0

Schedule J (Form 990) 2019

Page 3

Part III

Supplemental Information

Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II. Also complete this part for any additional information.

Return Reference	Explanation
1	FINRA'S SUPPLEMENTAL DEFINED BENEFIT PLAN IS A NON-QUALIFIED DEFINED BENEFIT PLAN THAT IS PROVIDED TO MEMBERS OF A SELECT GROUP OF MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES SUCH AS THOSE DESCRIBED UNDER 201(2), 301(A)(3), AND 401(A)(1) OF ERISA. IT IS A FINRA FUNDED PLAN IN WHICH PARTICIPANTS TYPICALLY HAD A TAXABLE ONE-TIME CLIFF VESTING EVENT AT A SPECIFIED MILESTONE BASED ON BOTH AGE AND YEARS OF SERVICE. THIS PLAN WAS CLOSED TO NEW ENTRANTS AS OF 12/31/05. ALL PARTICIPANTS HAVE COMPLETED VESTING. THE AMOUNTS BELOW, IF ANY, REPRESENT THE ACCUMULATED BENEFITS RECOGNIZED IN THE CURRENT YEAR FOR FEDERAL INCOME TAX PURPOSES UPON THE INDIVIDUALS' SEPARATION FROM FINRA AND THE PLAN. THE BENEFITS WERE EARNED WITHIN THE NON-QUALIFIED DEFINED BENEFIT PLAN OVER THE DURATION OF THE INDIVIDUALS' YEARS OF SERVICE TO FINRA. THESE AMOUNTS VARY BY INDIVIDUAL BASED ON YEARS OF SERVICE, COMPENSATION LEVELS AND PAY GRADE, AGE AT SEPARATION, AND PREVIOUS VESTING EVENTS. NO PARTICIPANTS IN THE NON-QUALIFIED DEFINED BENEFIT PLAN HAD ACCUMULATED BENEFITS RECOGNIZED IN 2019. 2) FINRA'S SUPPLEMENTAL DEFINED CONTRIBUTION PLAN IS A NON-QUALIFIED PLAN THAT IS OPEN TO VICE PRESIDENTS AND ABOVE WITH AN ANNUAL BASE PAY ABOVE THE QUALIFIED LIMIT. IT IS ONLY OPEN TO THOSE NOT PARTICIPATING IN THE CLOSED NON-QUALIFIED DEFINED BENEFIT PLAN DESCRIBED ABOVE. IT IS A FINRA FUNDED PLAN WITH A 3 YEAR VESTING CYCLE WITH ANNUAL VESTING BEGINNING AT AGE 62. PARTICIPANTS IN THE SUPPLEMENTAL NON-QUALIFIED DEFINED CONTRIBUTION PLAN WITH CONTRIBUTIONS VESTING IN 2019 INCLUDE: MARCIA E ASQUITH - $267,060 ROBERT LD COLBY - $106,672 ROBERT W COOK - $886,584 STEPHEN SCHOENEMAN - $56,669 JONATHAN S SOKOBIN - $170,355 PARTICIPANTS IN THE SUPPLEMENTAL NON-QUALIFIED DEFINED CONTRIBUTION PLAN WITH PAYOUTS IN 2019 INCLUDE: CARLO DI FLORIO - $54,914 THOMAS DROGAN - $14,410 TRACY JOHNSON - $68,232 JAMES PRICE - $141,359 VOLUNTARY COMPENSATION DISCLOSURE: ETHIOPIS TAFARA WAS A VOLUNTEER BOARD MEMBER IN 2019 AND DID NOT RECEIVE COMPENSATION FOR HIS SERVICE.
Schedule J, Part I, Line 3 Arrangement used to establish the top management official's compensation	FINRA REGULATION IS A WHOLLY-CONTROLLED SUBSIDIARY OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA). AS THE PARENT ORGANIZATION, FINRA INCURS ALL DIRECT AND INDIRECT EXPENSES, INCLUDING SALARY AND BENEFITS.
Schedule J, Part I, Line 4a Severance or change-of-control payment	IN CONNECTION WITH THOMAS DROGAN'S SEPARATION FROM FINRA, HE WAS PAID $209,904 IN 2019. THIS AMOUNT IS REFLECTIVE OF HIS 22 YEARS OF SERVICE TO FINRA. IN CONNECTION WITH TRACY JOHNSON'S SEPARATION FROM FINRA, SHE WAS PAID $235,662 IN 2019. THIS AMOUNT IS REFLECTIVE OF HER 8 YEARS OF SERVICE TO FINRA. IN CONNECTION WITH JAMES PRICE'S SEPARATION FROM FINRA, HE WAS PAID $132,639 IN 2019. THIS AMOUNT IS REFLECTIVE OF HIS 26 YEARS OF SERVICE TO FINRA. IN CONNECTION WITH CARLO DI FLORIO'S SEPARATION FROM FINRA, HE WAS PAID $138,462 IN 2019. THIS AMOUNT IS REFLECTIVE OF HIS 6 YEARS OF SERVICE TO FINRA. THE COMPENSATION DISCLOSURES FOR THOMAS M. SELMAN AND STEPHEN M. SCHOENEMAN INCLUDE DEFERRED COMPENSATION RELATED TO THEIR SEPARATIONS FROM FINRA. THOMAS M. SELMAN RECEIVED $413,918 IN DEFERRED COMPENSATION REFLECTIVE OF HIS 24 YEARS OF SERVICE AT FINRA. STEPHEN M. SCHOENEMAN RECEIVED $221,106 IN DEFERRED COMPENSATION REFLECTIVE OF HIS 12 YEARS OF SERVICE AT FINRA. THESE AMOUNTS WERE PAID IN 2020.
Schedule J, Part I, Line 4b Supplemental nonqualified retirement plan	FINRA OFFERS TWO NON-QUALIFIED SUPPLEMENTAL EXECUTIVE RETIREMENT PLANS. ANNUAL INCREASES IN BENEFIT VALUE, CLIFF VESTING EVENTS, AND PAYOUT DIFFERENTIALS ARE TAXABLE IN THE YEAR IN WHICH THEY OCCUR AND ARE REPORTED IN COLUMN B(III) OF SCHEDULE J, PART II. UNVESTED BENEFIT AND CONTRIBUTION ACCRUALS ARE TAX DEFERRED AND ARE REPORTED IN COLUMN C OF SCHEDULE J, PART II.

Software ID:	19010655
Software Version:	2019v5.0