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FINRA Statistics
Following are selected statistics. This area will be updated on a regular basis.
Statistical Review 2008 – 2013
| FINRA | 2008 | 2009 | 2010 | 2011 | 2012 | April 2013 |
|---|---|---|---|---|---|---|
Member Firms | 4,895 | 4,720 | 4,578 | 4,456 | 4,289 | 4,251 |
Branch Offices | 171,659 | 166,893 | 162,847 | 160,483 | 161,264 | 162,066 |
Registered Reps | 664,975 | 633,280 | 630,692 | 629,518 | 630,391 | 629,807 |
Statistical Review 2008 – 2012
| Regulatory Actions | 2008 | 2009 | 2010 | 2011 | 2012 |
|---|---|---|---|---|---|
Investor Complaints Received | 5,405 | 5,067 | 3,208 | 2,979 | 2,785 |
New Disciplinary Actions Filed | 1,073 | 1,158 | 1,310 | 1,488 | 1,541 |
Formal Actions Resolved | 1,007 | 1,090 | 1,178 | 1,287 | 1,370 |
Firms Expelled | 19 | 20 | 14 | 21 | 30 |
Firms Suspended | 0 | 1 | 1 | 0 | 0 |
Individuals Barred | 363 | 383 | 288 | 329 | 294 |
Individuals Suspended | 321 | 363 | 428 | 475 | 549 |
Advertisements and Sales Communications Reviewed | 99,295 | 96,700 | 97,378 | 105,329 | 101,181 |
| Corporate Financing | 2008 | 2009 | 2010 | 2011 | 2012 |
Equity Filings | 410 | 374 | 636 | 569 | 477 |
Debt Filings | 25 | 16 | 15 | 11 | 12 |
Other Corporate Filings | 86 | 294 | 256 | 139 | 141 |
Total Corporate Filings | 521 | 684 | 907 | 719 | 630 |
Other Filings + | 114 | 125 | 166 | 154 | 171 |
Grand Total | 635 | 809 | 1,073 | 873 | 801 |
+ Includes REIT and Direct Participation Programs.