Investors can file an arbitration claim or request mediation through FINRA when they have a dispute involving the business activities of a brokerage firm or one if its brokers. FINRA publishes aggregate statistics on dispute resolution including data on hearings, cases, controversy types, security types, results, awards and more.
The Foundation serves as a repository for data describing the financial capability of American households. It interprets this data and enables research to help decision-makers and practitioners advance financial well-being in communities nationwide.
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.
The FINRA Investor Education Foundation commissions the study of the financial capability of American adults. Financial capability encompasses multiple aspects of behavior relating to how individuals manage their resources and how they make financial decisions (including the factors they consider and the skill sets they use). It is a multi-dimensional concept that requires looking at individual behavior from various angles. Available for download are reports, results tables, questionnaires, methodology and datasets for the 2018, 2015, 2012 and 2009 National Financial Capability Study.