FINRA Publishes Industry Snapshot08.09.2018 By Rob Daly Editor-at-Large
Market regulator FINRA today published the FINRA Industry Snapshot 2018, its first annual statistical report on the brokerage firms, registered individuals and market activity that FINRA regulates.
The 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. All of the data appear in aggregate form to respect the confidentiality of regulatory information.
The Snapshot is designed to increase awareness and understanding of the broad range of firms, individuals and trading activity that FINRA oversees. Consistent with the transparency goals of the FINRA360 organizational-improvement initiative, for the first time FINRA is sharing a statistical overview based on the data it collects in the course of its work.
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry – brokerage firms doing business with the public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.
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