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FINRA Statistics
Following are selected statistics. This area will be updated on a regular basis.
Statistical Review 2005 - 2010
| FINRA | 2005 | 2006 | 2007 | 2008 | 2009 | Jan. 2010 |
|---|---|---|---|---|---|---|
|
Member Firms |
5,111 |
5,029 |
5,005 |
4,895 |
4,720 |
4,710 |
|
Branch Offices |
106,855 |
169,477 |
171,287 |
171,659 |
166,893 |
167,468 |
|
Registered Reps |
655,832 |
658,173 |
672,688 |
664,975 |
633,280 |
633,719 |
Statistical Review 2005 - 2009
| Regulatory Actions | 2005 | 2006 | 2007 | 2008 | 2009 |
|---|---|---|---|---|---|
|
Investor Complaints Received |
5,137 |
5,671 |
4,552 |
5,405 |
5,067 |
|
New Disciplinary Actions Filed |
1,399 |
1,204 |
1,177 |
1,073 |
1,158 |
|
Formal Actions Resolved |
1,344 |
1,147 |
1,107 |
1,007 |
1,090 |
|
Firms Expelled |
15 |
15 |
16 |
19 |
20 |
|
Firms Suspended |
3 |
4 |
5 |
0 |
1 |
|
Individuals Barred |
383 |
394 |
338 |
363 |
383 |
|
Individuals Suspended |
357 |
352 |
288 |
321 |
363 |
|
Advertisements and Sales Communications Reviewed |
89,653 |
92,927 |
98,441 |
99,295 |
96,700 |
| Corporate Financing | 2005 | 2006 | 2007 | 2008 | 2009 |
|
Equity Filings |
722 |
726 |
816 |
410 |
374 |
|
Debt Filings |
72 |
88 |
53 |
25 |
16 |
|
Other Corporate Filings |
79 |
100 |
92 |
86 |
294 |
|
Total Corporate Filings |
873 |
914 |
961 |
521 |
684 |
|
Other Filings + |
126 |
111 |
134 |
114 |
125 |
|
Grand Total |
999 |
1,025 |
1,095 |
635 |
809 |
+ Includes REIT and Direct Participation Programs.
