Annual Industry Snapshot

Background

Consistent with the transparency goals of FINRA360, FINRA, for the first time in 2018, published a statistical overview of the broker-dealer industry based on the data it collects in the course of its work. This report, called the FINRA Industry Snapshot 2018 , was the first annual statistical report on the brokerage firms, registered individuals and market activity that FINRA regulates.

This now annual publication includes data ranging from the size and geographic distribution of the firms FINRA regulates to the number of individuals in the industry; from trading activity to how firms market their products and services. The Snapshot is designed to increase awareness and understanding about the broad range of firms, individuals and trading activity that FINRA oversees.

Summary of Actions

• Published the annual FINRA Industry Snapshot