Statistics

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


FINRA Statistics Infographic

Learn More about FINRA

Statistics Infographic - 2015

 

Regulatory Actions and Corporate Financing Review 2012 – 2016

Regulatory Actions 2016 2015 2014 2013 2012

Investor Complaints Received1

3,070

3,250

2,802

2,334

2,785

New Disciplinary Actions Filed

1,434

1,512

1,397

1,535

1,541

Formal Actions Resolved

1,093

1,252

1,110

1,307

1,370

Firms Expelled

24

31

18

242

30

Firms Suspended

26

25

5

382

0

Individuals Barred

517

496

481

4292

294

Individuals Suspended

727

736

705

6702

549

Advertisements and Sales Communications Reviewed

92,489

99,776

113,646

108,534

101,181

Corporate Financing 2016 2015 2014 2013 2012
Corporate Filings3 693 901 958 790 630
Other Filings4 62 71 181 181 171
Grand Total Registered Offerings 755 972 1,139 971 801
Private Placement Filings 4,018 3,249 3,159 3,0435 325

Current Registration Statistics for October 2017

Registered Reps Member Firms Branch Offices

635,073

3,756

159,247

Registered Representatives Statistical Review 2002 - 2016

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

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%

2003

653,887

-67,245

-10%

+58,821

+9%

2002

662,311

-81,246

-12%

+69,996

+10%

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

Member Firm Statistical Review 2002 - 2016

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

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%

2003

5,261

-422

-8%

+309

+6%

2002

5,374

-464

-8%

+358

+7%

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

Member Firm Branch Offices Statistical Review 2005 - 20166

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

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/a6

+113,490

n/a6

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. Includes sanctions resulting from expedited proceedings.
3. Includes Equity and Debt.
4. Includes REIT and Direct Participation Programs.
5. The increase is as a result of Rule 5123 that went into effect in Dec. 2012, requiring information about broker-dealer participation in Reg D offerings to be filed with FINRA.
6. The Branch Office Registration System Launched on October 29, 2005.