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 2012 – 2017

FINRA 2012 2013 2014 2015 2016 JULY - 2017

Member Firms

4,289

4,146

4,068

3,957

3,835

3,789

Branch Offices

161,264

160,573

161,644

162,655

159,529

159,513

Registered Reps

630,391

635,837

636,707

643,322

635,902

631,394

Statistical Review 2012 – 2016

Regulatory Actions 2012 2013 2014 2015 2016

Investor Complaints Received

2,785

2,334

2,802

3,250

3,070

New Disciplinary Actions Filed

1,541

1,535

1,397

1,512

1,434

Formal Actions Resolved

1,370

1,307

1,110

1,252

1,093

Firms Expelled

30

24*

18

31

24

Firms Suspended

0

38*

5

25

26

Individuals Barred

294

429*

481

496

517

Individuals Suspended

549

670*

705

736

727

Advertisements and Sales Communications Reviewed

101,181

108,534

113,646

99,776

92,489

* Includes sanctions resulting from expedited proceedings.

Corporate Financing 2012 2013 2014 2015 2016
Corporate Filings+ 630 790 958 901 693
Other Filings++ 171 181 181 71 62
Grand Total Registered Offerings 801 971 1,139 972 755
Private Placement Filings 325 3,043** 3,159 3,249 4,018

** 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.