finra

FINRA Statistics & Data

Following are selected statistics. This area will be updated on a regular basis.

 

Statistical Review 2009 – 2014

 

FINRA20092010201120122013November 2014

Member Firms

4,720

4,578

4,456

4,289

4,146

4,098

Branch Offices

166,893

162,847

160,483

161,264

160,573

163,042

Registered Reps

633,280

630,692

629,518

630,391

635,837

640,428


 

Statistical Review 2009 – 2013

 

Regulatory Actions20092010201120122013

Investor Complaints Received

5,067

3,208

2,979

2,785

2,334

New Disciplinary Actions Filed

1,158

1,310

1,488

1,541

1,535

Formal Actions Resolved

1,090

1,178

1,287

1,370

1,307

Firms Expelled

20

14

21

30

24*

Firms Suspended

1

1

0

0

38*

Individuals Barred

383

288

329

294

429*

Individuals Suspended

363

428

475

549

670*

Advertisements and Sales Communications Reviewed

96,700

97,378

105,329

101,181

108,534

Corporate Financing20092010201120122013

Equity Filings

374

636

569

477

666

Debt Filings

16

15

11

12

8

Other Corporate Filings

294

256

139

141

116

Total Corporate Filings

684

907

719

630

790

Other Filings

125

166

154

171

181

Grand Total Registered Offerings

809

1,073

873

801

971

Private Placement Filings

165

276

177

325

3,043**

 

* Includes sanctions resulting from expedited proceedings.

** The increase is as a result of Rule 5123 that went into effect in Dec. 2012, requiring information about broker-dealer participation in Reg D offerings to be filed with FINRA.