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.