finra

FINRA Statistics & Data

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

 

Statistical Review 2010 – 2014

 

FINRA20102011201220132014

Member Firms

4,578

4,456

4,289

4,146

4,068

Branch Offices

162,847

160,483

161,264

160,573

161,644

Registered Reps

630,692

629,518

630,391

635,837

636,707


 

Statistical Review 2010 – 2014

 

Regulatory Actions20102011201220132014

Investor Complaints Received

3,208

2,979

2,785

2,334

2,802

New Disciplinary Actions Filed

1,310

1,488

1,541

1,535

1,397

Formal Actions Resolved

1,178

1,287

1,370

1,307

1,110

Firms Expelled

14

21

30

24*

18

Firms Suspended

1

0

0

38*

5

Individuals Barred

288

329

294

429*

481

Individuals Suspended

428

475

549

670*

705

Advertisements and Sales Communications Reviewed

97,378

105,329

101,181

108,534

113,646

Corporate Financing20102011201220132014

Corporate Filings+

907

719

630

790

958

Other Filings++

166

154

171

181

181

Grand Total Registered Offerings

1,073

873

801

971

1,139

Private Placement Filings

276

177

325

3,043**

3,159

 

* 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.

+ Includes Equity and Debt.

++ Includes REIT and Direct Participation Programs.