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This data provides aggregate market activity for corporate bonds, agency bonds and 144a bonds (144a bonds are private placement securities subject to SEC Rule144A), using end-of-day data for days the system is open. Data is not available for days the system is closed. Please refer to Systems Calendar. (View the data for multiple days simultaneously here.) Learn more about bonds.
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Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing SystemSM (FIPS®) for members trading highyield bonds. FIPS was created to facilitate the over-the-counter (OTC) trading of high-yield, corporate
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Table of Contents
2.1 Sizes and Counts
Figure 2.1.1 Total Number of FINRA-Registered Firms, 2018−2022
Figure 2.1.2 Firm Distribution by Size, 2018−2022
Table 2.1.3 Firm Distribution by Size, 2018−2022
Figure 2.1.4 Securities Industry Registered Firms by Type of Registration, 2013−2022
Table 2.1.5 Securities Industry Registered Firms by Type of Registration, 2013−2022
Figure 2.
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Table of Contents2.1 Sizes and CountsFigure 2.1.1 Total Number of FINRA-Registered Firms, 2019−2023Figure 2.1.2 Firm Distribution by Size, 2019−2023Table 2.1.3 Firm Distribution by Size, 2019−2023Figure 2.1.4 Securities Industry Registered Firms by Type of Registration, 2014−2023Table 2.1.5 Securities Industry Registered Firms by Type of Registration, 2014−2023Figure 2.1.6 Distribution of
FINRA is responsible for regulating every broker and brokerage firm doing business with the U.S. public. The selected statistics below represent: 1) the work we do as a regulator and 2) an overview of the securities industry based on data we capture.Key FINRA Statistics for 2023Regulatory Actions and Corporate Financing Review 2017 – 2023Key Industry StatisticsRegistered Representatives
Intelligence means different things to different people. But for FINRA, at its most basic, it is the actionable information that allows employees, from an organization’s senior executives to its examiners or investigators, to make informed decisions. On this episode, we sit down to learn about FINRA’s new Financial Intelligence Unit, and how it is looking to transform how FINRA takes in, analyzes, and shares data.
NSC Ordered to Pay Over $625,000 in Restitution to Customers Who Bought GPB Capital Private Placements After NSC Failed to Inform Them of Material Information
WASHINGTON—FINRA announced today that it has sanctioned National Securities Corporation (NSC) approximately $9 million, including disgorgement of $4.77 million in net profits the firm received for underwriting 10 public offerings in which
The Crowdfunding Offerings: Broker-Dealers and Funding Portals topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
FINRA oversees a diverse set of broker-dealer firms that make up a vibrant securities industry. Every registered firm at one time or another must engage with FINRA's Membership Application Program, or MAP. In this episode, we learn more about MAP and some of the recent and ongoing enhancements to the program.
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Table of Contents
Figure 2.1 Total Number of FINRA-Registered Firms, 2015−2019
Figure 2.2 Firm Distribution by Size, 2015−2019
Table 2.2 Firm Distribution by Size, 2015−2019
Figure 2.3 Securities Industry Registered Firms by Type of Registration, 2010−2019
Table 2.3 Securities Industry Registered Firms by Type of Registration, 2010−2019
Figure 2.4 Distribution of Branches by Firm