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Last Updated: 5/2/08
FINRA Statistics |
Following are selected statistics. This area will be updated on a regular basis.
Statistical Review 2003 - 2008
| FINRA |
2003 |
2004 |
2005 |
2006 |
2007 |
March 2008 |
| Member Firms |
4,984 |
5,191 |
5,111 |
5,029 |
5,005 |
4,993 |
| Branch Offices |
173,099 |
96,970 |
106,855 |
169,477 |
171,287 |
172,850 |
| Registered Reps |
677,068 |
659,212 |
655,832 |
658,173 |
672,688 |
676,820 |
Statistical Review 2003 - 2007
| Regulatory Actions |
2003
|
2004 |
2005 |
2006 |
2007 |
| Investor Complaints Received |
4,843
|
4,687 |
5,137 |
5,671 |
4,552 |
| New Disciplinary Actions Filed |
1,410
|
1,396 |
1,399 |
1,204 |
1,177 |
| Formal Actions Resolved |
1,324
|
1,336 |
1,344 |
1,147 |
1,107 |
| Firms Expelled |
30
|
22 |
15 |
15 |
16 |
| Firms Suspended |
7
|
4 |
3 |
4 |
5 |
| Individuals Barred |
494
|
454 |
383 |
394 |
338 |
| Individuals Suspended |
333
|
379 |
357 |
352 |
288 |
| Advertisements and Sales Communications Reviewed |
85,736
|
88,301 |
89,653 |
92,927 |
98,441 |
| Corporate Financing |
2003
|
2004 |
2005 |
2006 |
2007 |
| Equity Filings |
508
|
782 |
722 |
726 |
816 |
| Debt Filings |
87
|
79 |
72 |
88 |
53 |
| Other Corporate Filings |
51
|
86 |
79 |
100 |
92 |
| Total Corporate Filings |
646
|
947 |
873 |
914 |
961 |
| Other Filings + |
107
|
133 |
126 |
111 |
134 |
| Grand Total |
753
|
1,080 |
999 |
1,025 |
1,095 |
+ Includes REIT and Direct Participation Programs.
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