OTC Threshold data is published daily by FINRA to identify OTC equity securities with fails to deliver that are required to be closed out pursuant to Rule 203(b)(3) of Regulation SHO or FINRA Rule 4320. Firms must utilize the OTC Threshold list to ensure full compliance with the rules. While threshold status is based on the aggregate fail in a specific equity security, the obligation to close-out fail to deliver positions under both rules is at the participant level. 

FINRA publishes market statistics for over-the-counter (OTC) equities, which are securities reported by members to FINRA's OTC Reporting Facility (ORF), as opposed to on a centralized exchange.

FINRA publishes the short interest reports it collects from member firms for all exchange-listed and over-the-counter equity securities. 

The Daily List is a list of new issues, deleted issues, symbol and name changes, and other corporate actions for over-the-counter (OTC) equity securities, as well as historical OTC Bulletin Board (OTCBB) securities. OTCBB was a FINRA interdealer quotation system that was retired in 11/2021. 

 FINRA publishes data for over-the-counter (OTC) equities, which are securities reported to a FINRA equity trade reporting system, as opposed to on a centralized exchange. An OTC equity issue is generally considered to be any equity issue that is not a national market system (NMS) stock traded on a national issues exchange. Published data includes symbol changes, equity short interest, market statistics, thresholds and trading halts.

The Cross-Market Equities Supervision Manipulation Reports provide firms feedback on exceptions that were generated based on firms' order entries and trading activities in a given surveillance period. These reports are designed to assist firms with monitoring their supervision for trading behaviors that may be designed to manipulate the market.

Report cards are created for firms to monitor timeliness of Corporate Financing filings. These report cards display statistics about late filings submitted to Corporate Financing.

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.