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Statistics

FINRA is responsible for regulating every broker and brokerage firm doing business with the U.S. public. The selected statistics below are updated on a regular basis. 

Key Statistics for 2018

Registered Representatives

629,847

Securities Firms

3,607

Cycle Exams

1,171

Branch Exams

446

Reviews for Cause in the Examination Program

4,728

Market Events Processed

66.7 billion every day

Fines

$61.0 million

Restitution

$25.5 million

Individuals Barred

386

Individuals Suspended

472

Firms Expelled

16

Firms Suspended

23

Fraud and Insider Trading Cases Referred for Prosecution

919

Regulatory Actions and Corporate Financing Review 2014 – 2018

Regulatory Actions 2018 2017 2016 2015 2014

Investor Complaints Received1

3,136

3,002

3,070

3,250

2,802

New Disciplinary Actions Filed2

921

1,369

1,434

1,512

1,397

Fines3 (in millions)

$61.0

$64.9

$173.8

$93.8

$132.6

Restitution (in millions)

$25.5

$66.8

$27.9

$96.6

$32.3

Firms Expelled4

16

20

24

31

18

Firms Suspended

23

29

26

25

5

Individuals Barred

386

492

517

496

481

Individuals Suspended

472

733

727

736

705

Advertisements and Sales Communications Reviewed

75,071

79,941

92,489

99,776

113,646

Corporate Financing 2018 2017 2016 2015 2014

Total Public Offering Filings

1,014

979

755

972

1,139

> Corporate Filings5

973

914

693

901

958

> Other Filings6

41

65

62

71

181

Private Placement Filings

2,471

2,579

4,018

3,249

3,159

Current Registration Statistics for October 2019

Registered Reps Member Firms Branch Offices

629,673

3,580

155,427

Registered Representatives Statistical Review 2004 - 2018

Year Total Registered Reps
at End of Year
Individuals Leaving % of Total Individuals Entering % of Total

2018

629,847

-44,095

-7%

+43,810

+7%

2017

630,132

-46,676

-7%

+40,906

+6%

2016

635,902

-50,641

-8%

+43,221

+7%

2015

643,322

-40,421

-6%

+47,036

+7%

2014

636,707

-40,694

-6%

+46,605

+7%

2013

630,796

-43,238

-7%

+43,643

+7%

2012

630,391

-48,136

-8%

+49,009

+8%

2011

629,518

-45,555

-7%

+44,381

+7%

2010

630,692

-47,237

-7%

+44,649

+7%

2009

633,280

-72,564

-11%

+40,869

+6%

2008

664,975

-68,429

-10%

+60,716

+9%

2007

672,688

-54,167

-8%

+68,682

+10%

2006

658,173

-60,368

-9%

+62,709

+10%

2005

655,832

-66,592

-10%

+63,212

+10%

2004

659,212

-59,041

-9%

+64,366

+10%

Certain data presented here reflect minor adjustments from previously reported data due to technical database corrections.

Member Firm Statistical Review 2004 - 2018

Year Total Firms at End of Year Firms Leaving % of Total Firms Added % of Total

2018

3,607

-219

-6%

+100

+3%

2017

3,726

-205

-6%

+96

+3%

2016

3,835

-232

-6%

+124

+3%

2015

3,943

-244

-6%

+119

+3%

2014

4,068

-222

-5%

+144

+3%

2013

4,146

-249

-6%

+105

+2%

2012

4,290

-303

-7%

+136

+3%

2011

4,457

-294

-6%

+173

+4%

2010

4,578

-330

-7%

+190

+4%

2009

4,718

-339

-7%

+166

+3%

2008

4,891

-323

-6%

+215

+4%

2007

4,999

-312

-6%

+289

+6%

2006

5,022

-327

-6%

+247

+5%

2005

5,102

-379

-7%

+294

+6%

2004

5,187

-376

-7%

+302

+6%

Certain data presented here reflect minor adjustments from previously reported data due to technical database corrections.

Member Firm Branch Offices Statistical Review 2005 - 20187

Year Total Branches at End of Year Branches Closed % of Total Branches Opened % of Total

2018

154,772

-20,866

-13%

+20,153

+13%

2017

156,107

-21,796

-14%

+16,397

+11%

2016

159,529

-20,100

-12%

+18,123

+11%

2015

161,506

-18,291

-11%

+18,153

+11%

2014

161,644

-16,537

-10%

+17,608

+11%

2013

160,573

-19,358

-12%

+18,667

+12%

2012

161,264

-25,167

-16%

+25,948

+16%

2011

160,483

-24,838

-15%

+22,474

+14%

2010

162,847

-26,289

-16%

+22,243

+13%

2009

166,893

-37,709

-22%

+32,943

+19%

2008

171,659

-28,539

-17%

+28,912

+17%

2007

171,286

-29,705

-18%

+31,514

+19%

2006

169,477

-28,058

-26%

+91,288

+86%

2005

106,247

-7,243

n/a7

+113,490

n/a7

Certain data presented here reflect minor adjustments from previously reported data due to technical database corrections.


1. Includes complaints directly reported by investors to FINRA.
2. Beginning in 2017, FINRA changed its methodology in compiling aggregate data for Actions Filed.
3. Fines billed by FINRA, excluding amounts billed by FINRA on behalf of another self-regulatory organizations, including the Municipal Securities Rulemaking Board.
4. Beginning in 2017, FINRA changed its methodology in compiling aggregate data for Firms Expelled.
5. Includes equity and debt filings.
6. Includes unlisted REIT and direct participation program filings.
7. The revised definition of “branch office” took effect on July 3, 2006 (NASD) and September 9, 2005 (NYSE). The Branch Office Registration System launched on October 29, 2005.