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 MARCH 2016

Member Firms

4,456

4,289

4,146

4,068

3,957

3,941

Branch Offices

160,483

161,264

160,573

161,644

162,655

161,714

Registered Reps

629,518

630,391

635,837

636,707

643,322

641,157

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

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

* 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.