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FINRA Statistics
Following are selected statistics. This area will be updated on a regular basis.
Statistical Review 2007 – 2012
| FINRA | 2007 | 2008 | 2009 | 2010 | 2011 | April 2012 |
|---|---|---|---|---|---|---|
Member Firms | 5,005 | 4,895 | 4,720 | 4,578 | 4,456 | 4,416 |
Branch Offices | 171,287 | 171,659 | 166,893 | 162,847 | 160,483 | 162,572 |
Registered Reps | 672,688 | 664,975 | 633,280 | 630,692 | 629,518 | 629,278 |
Statistical Review 2007 – 2011
| Regulatory Actions | 2007 | 2008 | 2009 | 2010 | 2011 |
|---|---|---|---|---|---|
Investor Complaints Received | 4,552 | 5,405 | 5,067 | 3,208 | 2,979 |
New Disciplinary Actions Filed | 1,177 | 1,073 | 1,158 | 1,310 | 1,488 |
Formal Actions Resolved | 1,107 | 1,007 | 1,090 | 1,178 | 1,287 |
Firms Expelled | 16 | 19 | 20 | 14 | 21 |
Firms Suspended | 5 | 0 | 1 | 1 | 0 |
Individuals Barred | 338 | 363 | 383 | 288 | 329 |
Individuals Suspended | 288 | 321 | 363 | 428 | 475 |
Advertisements and Sales Communications Reviewed | 98,441 | 99,295 | 96,700 | 97,378 | 105,329 |
| Corporate Financing | 2007 | 2008 | 2009 | 2010 | 2011 |
Equity Filings | 816 | 410 | 374 | 636 | 569 |
Debt Filings | 53 | 25 | 16 | 15 | 11 |
Other Corporate Filings | 92 | 86 | 294 | 256 | 139 |
Total Corporate Filings | 961 | 521 | 684 | 907 | 719 |
Other Filings + | 134 | 114 | 125 | 166 | 154 |
Grand Total | 1,095 | 635 | 809 | 1,073 | 873 |
+ Includes REIT and Direct Participation Programs.