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Table of Contents
Figure 2.1 Total Number of FINRA-Registered Firms, 2016−2020
Figure 2.2 Firm Distribution by Size, 2016−2020
Table 2.2 Firm Distribution by Size, 2016−2020
Figure 2.3 Securities Industry Registered Firms by Type of Registration, 2011−2020
Table 2.3 Securities Industry Registered Firms by Type of Registration, 2011−2020
Figure 2.4 Distribution of Branches by Firm
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Table of Contents
Figure 1.2 FINRA-Registered Representatives by Firm Size
Table 1.2 FINRA-Registered Representatives by Firm Size, 2016–2020
Figure 1.3 Average and Median Number of FINRA-Registered Representatives per Firm
Table 1.3 Average and Median Number of FINRA-Registered Representatives per Firm, 2016–2020
Figure 1.4 Securities Industry Registered Individuals by Type of
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that promotes vibrant capital markets. The purpose of this Notice is to encourage employees of member firms and other interested
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, April 2, 2021. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
Please note for TRACE: If a member executes a
Summary
FINRA warns member firms that, over the past two months, we have observed a sharp increase in new customers opening online brokerage accounts and engaging in Automated Clearing House (ACH) “instant funds” abuse to effect securities trading. (FINRA has previously warned firms about trends in losses from schemes involving electronic funds transfers, such as those involving outbound wire
Chairwoman Waters, Ranking Member McHenry and Members of the Committee:
Introduction
On behalf of the Financial Industry Regulatory Authority, or FINRA, I want to thank you for the opportunity to appear today to discuss the important role that our organization plays in the regulation of broker-dealers and to share our response to the January market events related to trading in GameStop and
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, May 8, 2021 from 10 a.m. through 2 p.m. ET During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
Whether you’re a military veteran or transitioning service member exploring new opportunities or a military spouse seeking a flexible career, the financial services industry offers many job paths. Get a head start today by taking the Security Industry Essentials® (SIE®) Exam.
This introductory-level exam assesses knowledge of basic industry information, including fundamental concepts such as
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