Statistics

FINRA is responsible for regulating every broker and brokerage firm doing business with the U.S. public.

Our core mission is to pursue investor protection and market integrity, and we carry it out by overseeing virtually every aspect of the securities industry.

FINRA Statistics Infographic

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Statistics Infographic - 2015

And, we review public offerings to make sure firms’ underwriting arrangements are fair and reasonable, and private offerings to detect potential problems with due diligence or other broker obligations under FINRA and SEC rules.

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

Statistical Review 2011 – 2016

FINRA 2011 2012 2013 2014 2015 OCT 2016

Member Firms

4,456

4,289

4,146

4,068

3,957

3,876

Branch Offices

160,483

161,264

160,573

161,644

162,655

161,697

Registered Reps

629,518

630,391

635,837

636,707

643,322

641,494

Statistical Review 2011 – 2015

Regulatory Actions 2011 2012 2013 2014 2015

Investor Complaints Received

2,979

2,785

2,334

2,802

3,250

New Disciplinary Actions Filed

1,488

1,541

1,535

1,397

1,512

Formal Actions Resolved

1,287

1,370

1,307

1,110

1,252

Firms Expelled

21

30

24*

18

31

Firms Suspended

0

0

38*

5

25

Individuals Barred

329

294

429*

481

496

Individuals Suspended

475

549

670*

705

736

Advertisements and Sales Communications Reviewed

105,329

101,181

108,534

113,646

99,776

* Includes sanctions resulting from expedited proceedings.

Corporate Financing 2011 2012 2013 2014 2015
Corporate Filings+ 719 630 790 958 901
Other Filings++ 154 171 181 181 71
Grand Total Registered Offerings 873 801 971 1,139 972
Private Placement Filings 177 325 3,043** 3,159 3,249

** 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.