SPACs, Margin Debt and CAT Among New Data Categories
WASHINGTON – FINRA today published the 2022 FINRA Industry Snapshot, the annual statistical report on the brokerage firms, registered representatives and market activity that FINRA oversees. This year’s edition adds new data about special purpose acquisition companies (SPACs), customer margin debt, the Consolidated Audit Trail (CAT) and other areas.
"The securities industry is highly dynamic, and as it evolves, we continue to add new data sets to the FINRA Industry Snapshot to provide visibility into those changes," said FINRA Chief Economist and Senior Vice President Jonathan Sokobin.
In 2021, FINRA began adding data about activity in Treasury securities and corporate financing filings to the Snapshot. This year, the Snapshot includes several new additions:
- Number and size of SPAC filings;
- Customer margin debt;
- CAT event reporting;
- American Depository Receipt activity;
- Excess net capital by firm size;
- Regulation National Market System (Reg. NMS) stock trading by product type; and
- Geographic distribution of registered individuals.
The Snapshot, which is available in .pdf and web versions, is now part of the FINRA Data page, a new area on FINRA.org that gives users one-stop access to all of the data offerings from FINRA. The new page provides a way for users to more easily find and sort the various sets of data that FINRA provides.
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry—brokerage firms doing business with the public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.