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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
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Table of Contents1.1 Sizes and CountsFigure 1.1.1 Total Number of FINRA-Registered Representatives, 2019–2023Figure 1.1.2 FINRA-Registered Representatives by Firm Size, 2019–2023Table 1.1.3 FINRA-Registered Representatives by Firm Size, 2019–2023Figure 1.1.4 Average and Median Number of FINRA-Registered Representatives per Firm, 2019–2023Table 1.1.5 Average and Median Number of FINRA-
FINRA published the 2024 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms and market activity that FINRA oversees.
FINRA E-Bill is an online billing system through which firms can review invoices and submit payment via wire transfer or ACH (or online by credit card). E-Bill is accessible through the FINRA Firm Gateway-a tool that provides centralized access to FINRA regulatory and filing applications.
Money you make on an investment is considered a capital gain, and in most cases, you’ll need to pay a capital gains tax. If your investment loses money, you have a capital loss. Your capital gain or loss is the difference between the sale price and the cost basis, and the tax rate depends on how long you held the investment.
On This PageThe FINRA CRCP CE Reporting and Tracking SystemNavigating the CRCP CE Reporting SystemViewing and Changing Your ProfileViewing CRCP CE CreditsReporting Credits EarnedVerifying Compliance with CRCP CE RequirementsSign-in With GoogleAdditional AssistanceThe FINRA CRCP CE Reporting and Tracking SystemWhat is the FINRA CRCP CE System?The FINRA CRCP® CE System is a web-based portal for
A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA announced today in a blog post.
By Greg Ruppert, Executive Vice President, Member Supervision and Jonathan Sokobin, Executive Vice President, Chief Economist and Head of the Office of Regulatory Economics and Market AnalysisFINRA proposed in 2023 to create a voluntary, three-year Remote Inspections Pilot Program to evaluate the impact and efficacy of the remote inspection of branches and offices by member firms. The idea for
FINRA reminds ORF and TRACE clients that test function partners should be arranged with other street-side firms when needing to conduct trade matching, new trade entries or allege versions of cancels/corrections and reversal transactions in the Nasdaq Test Facility (NTF) region.
