Key Statistics

FINRA is a self-regulatory organization for member broker-dealers that is responsible under federal law for supervising our member firms. Transparency is critical to our work and ensuring trust and confidence in the markets. The statistics below represent just some of the work we do to carry out our mission. 

The data present just part of the overall picture. The number of formal disciplinary actions, for example, does not reflect the many investigations that were effectively resolved through no action or informal disciplinary action. Nor does it reflect or our broader regulatory efforts to protect investors and markets, including by providing compliance resources to member firms and sharing information with the industry about emerging risks and challenges we have observed. Find out more about how FINRA serves investors and members.

FINRA also shares annually of some of the industry data collected in the course of its work. You can find that information in the latest FINRA Industry Snapshot. 

Regulatory Operations Key Data, 2020 – 2024

 *Includes formal complaints filed, non-summary proceedings initiated, and Letters of Acceptance, Waiver and Consent (AWCs) and Minor Rule Violations (MRVs) issued including matters resolved on behalf of exchanges pursuant to Regulatory Services Agreements

⁺FINRA prioritizes cases consistent with its key objectives, including cases that involve customer harm, particularly those involving senior and other vulnerable adult investors; cases where there has been harm to the integrity of the markets; cases involving recidivist behavior – where there are material repeat violations; cases where the conduct may not yet have resulted in quantifiable harm but nonetheless raised significant risks to investors or markets; and cases flowing from our targeted exams, or sweeps.

Corporate Financing Review 2020 – 2024