Statistics representing the work FINRA does as a regulator and an overview of the securities industry based on data we capture. Includes statistics on regulatory actions and corporate financing, registered representatives, and member firms.

Investors can file an arbitration claim or request mediation through FINRA when they have a dispute involving the business activities of a brokerage firm or one if its brokers.  FINRA publishes aggregate statistics on dispute resolution including data on  hearings, cases, controversy types, security types, results, awards and more. 

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.

Originally introduced in 2005, the FINRA Fund Analyzer helps investors and financial professionals understand the impact of fees and potentially  available discounts on mutual funds, exchange-traded funds, exchange-traded notes and money market funds. The Fund Analyzer allows individuals to sort through and compare products available to investors today and calculates how a fund's fees, expenses and discounts impact the value of a fund over time.

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).

The Foundation serves as a repository for data describing the financial capability of American households. It interprets this data and enables research to help decision-makers and practitioners advance financial well-being in communities nationwide.

FINRA disciplinary actions taken against firms and individuals for violations that were issued 2005 or later and are eligible for publication pursuant to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information). Results will also include opinions issued by the SEC and federal appellate courts that relate to FINRA disciplinary actions that have been appealed.

A collection of reports and report cards created for firms to monitor their risk. Includes display summaries and statistics related to various risk factors, including canceled trades, customer complaints, customer debits, and registered representative composition.

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.