The Cross-Market Equities Supervision Manipulation Reports provide firms feedback on exceptions that were generated based on firms' order entries and trading activities in a given surveillance period. These reports are designed to assist firms with monitoring their supervision for trading behaviors that may be designed to manipulate the market.
FINRA disciplinary actions taken against firms and individuals for violations that were issued 2005 or later and are eligible for publication pursuant to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information). Results will also include opinions issued by the SEC and federal appellate courts that relate to FINRA disciplinary actions that have been appealed.
Equity Report cards created to help firms track their compliance with key equity trading rules related to OATS, Best Execution Outside-of-the-Inside, Market Order Timeliness, Trade Reporting and Reg NMS trade throughs.
Statistics representing the work FINRA does as a regulator and an overview of the securities industry based on data we capture. Includes statistics on regulatory actions and corporate financing, registered representatives, and member firms.
The FINRA Industry Snapshot provides a high-level overview of the industry, including revenues of firms and how firms market their products and services. All of the data are reported in aggregate to respect the confidentiality of regulatory information.
Pursuant to FINRA Rule 4521, FINRA member firms carrying margin accounts for customers are required to submit, on a settlement date basis, as of the last business day of the month, the total of all debit balances in securities margin accounts; and the total of all free credit balances in all cash accounts and all securities margin accounts. FINRA collects the required data via FINRA’s Customer Margin Balance Form. The data is compiled in aggregate form and made available below. See Regulatory Notice 10-08 (Customer Margin Accounts) for more information.