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Business Segments as of May 2019


(Count as of year-end)


On October 1, 2018, FINRA announced that it is moving toward an exam and risk monitoring program structure that is based on the business models of the firms FINRA oversees. FINRA has grouped firms according to the business(es) in which they are engaged. The following interactive chart breaks down business segments by firm size. 

Note: Small firm = 1 - 150 registered representatives; Medium firm = 151 - 499 registered representatives; Large firm = 500 or more registered representatives.