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.
Media outlets wishing to receive and redistribute the bond market aggregate statistics are required to execute an agreement with FINRA, after which access will be provided via a secure API connection. There are no fees associated with these data sets.
FINRA's Market Data Center is a comprehensive tool is designed to assist investors with bond market and investment research, both through the market data information provided as well as through the FINRA Investor Education material and tools.
Created for firms, these reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.
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.
The CE Regulatory Element Report is published each quarter for any firm that has had at least one representative take a Regulatory Element CE session during the quarter. The report provides information about the firm's performance as well as industry performance during the quarter for comparison.
List of securities that meet the requirements pursuant to Rule 203(b)(3) of Regulation SHO and FINRA Rule 4320, that a participant of a registered clearing agency (i.e., a clearing firm), that has a fail to deliver position at a registered clearing agency (i.e., National Securities Clearing Corporation) in a Threshold Security for 13 consecutive settlement days must immediately close out that fail to deliver position by purchasing shares of like kind and quantity.