finra.org · 11,439
A vibrant market is at its best when it works for everyone. FINRA.org is the official website of the Financial Industry Regulatory Authority, dedicated to ensuring a fair market through regulations and providing essential tools and resources for investors and professionals. With a focus on market integrity and creating opportunity, FINRA plays a vital role in exposing insider trading and advancing racial justice. Stay informed with updates on cybersecurity, industry snapshots, and regulatory oversight reports. Explore the FINRA Rulebook Search Tool™ (FIRST™) for easy access to rules and guidance. Take steps to boost financial capability and confidence in participating in the market. Visit FINRA.org today to learn more about how this organization is working towards creating a more transparent and fair financial market.
finra.org · years statistic
2004
| 1 | 0 |
| 2 | 0 |
| 3 | 0 |
| 4 | 0 |
| 5 | 1 |
| 6 | 3 |
| 7 | 0 |
| 8 | 1 |
| 9 | 2 |
| 10 | 0 |
| 11 | 1 |
| 12 | 0 |
2005
| 1 | 0 |
| 2 | 2 |
| 3 | 1 |
| 4 | 1 |
| 5 | 0 |
| 6 | 0 |
| 7 | 0 |
| 8 | 0 |
| 9 | 1 |
| 10 | 0 |
| 11 | 0 |
| 12 | 0 |
2007
| 1 | 0 |
| 2 | 0 |
| 3 | 0 |
| 4 | 0 |
| 5 | 0 |
| 6 | 0 |
| 7 | 0 |
| 8 | 2 |
| 9 | 1 |
| 10 | 8 |
| 11 | 4 |
| 12 | 3 |
2008
| 1 | 2 |
| 2 | 4 |
| 3 | 6 |
| 4 | 2 |
| 5 | 3 |
| 6 | 0 |
| 7 | 2 |
| 8 | 0 |
| 9 | 6 |
| 10 | 9 |
| 11 | 11 |
| 12 | 7 |
2009
| 1 | 33 |
| 2 | 14 |
| 3 | 6 |
| 4 | 14 |
| 5 | 43 |
| 6 | 6 |
| 7 | 4 |
| 8 | 9 |
| 9 | 13 |
| 10 | 15 |
| 11 | 9 |
| 12 | 9 |
2010
| 1 | 13 |
| 2 | 11 |
| 3 | 16 |
| 4 | 19 |
| 5 | 13 |
| 6 | 11 |
| 7 | 15 |
| 8 | 19 |
| 9 | 6 |
| 10 | 9 |
| 11 | 20 |
| 12 | 19 |
2011
| 1 | 14 |
| 2 | 27 |
| 3 | 15 |
| 4 | 12 |
| 5 | 17 |
| 6 | 15 |
| 7 | 27 |
| 8 | 7 |
| 9 | 4 |
| 10 | 12 |
| 11 | 6 |
| 12 | 6 |
2012
| 1 | 16 |
| 2 | 9 |
| 3 | 7 |
| 4 | 10 |
| 5 | 9 |
| 6 | 13 |
| 7 | 16 |
| 8 | 18 |
| 9 | 92 |
| 10 | 28 |
| 11 | 15 |
| 12 | 14 |
2013
| 1 | 23 |
| 2 | 14 |
| 3 | 21 |
| 4 | 27 |
| 5 | 15 |
| 6 | 8 |
| 7 | 18 |
| 8 | 19 |
| 9 | 15 |
| 10 | 13 |
| 11 | 42 |
| 12 | 133 |
2014
| 1 | 108 |
| 2 | 18 |
| 3 | 21 |
| 4 | 16 |
| 5 | 18 |
| 6 | 60 |
| 7 | 60 |
| 8 | 77 |
| 9 | 51 |
| 10 | 59 |
| 11 | 40 |
| 12 | 40 |
2015
| 1 | 41 |
| 2 | 27 |
| 3 | 27 |
| 4 | 25 |
| 5 | 19 |
| 6 | 35 |
| 7 | 139 |
| 8 | 34 |
| 9 | 21 |
| 10 | 20 |
| 11 | 18 |
| 12 | 20 |
2016
| 1 | 35 |
| 2 | 27 |
| 3 | 36 |
| 4 | 18 |
| 5 | 20 |
| 6 | 20 |
| 7 | 17 |
| 8 | 22 |
| 9 | 20 |
| 10 | 20 |
| 11 | 21 |
| 12 | 19 |
2017
| 1 | 22 |
| 2 | 18 |
| 3 | 20 |
| 4 | 24 |
| 5 | 45 |
| 6 | 40 |
| 7 | 41 |
| 8 | 34 |
| 9 | 31 |
| 10 | 32 |
| 11 | 37 |
| 12 | 54 |
2018
| 1 | 35 |
| 2 | 31 |
| 3 | 38 |
| 4 | 26 |
| 5 | 30 |
| 6 | 36 |
| 7 | 36 |
| 8 | 35 |
| 9 | 27 |
| 10 | 46 |
| 11 | 32 |
| 12 | 38 |
2019
| 1 | 28 |
| 2 | 45 |
| 3 | 65 |
| 4 | 48 |
| 5 | 71 |
| 6 | 68 |
| 7 | 80 |
| 8 | 95 |
| 9 | 126 |
| 10 | 106 |
| 11 | 109 |
| 12 | 102 |
2020
| 1 | 81 |
| 2 | 86 |
| 3 | 111 |
| 4 | 133 |
| 5 | 131 |
| 6 | 140 |
| 7 | 124 |
| 8 | 143 |
| 9 | 95 |
| 10 | 131 |
| 11 | 134 |
| 12 | 157 |
2021
| 1 | 220 |
| 2 | 181 |
| 3 | 254 |
| 4 | 209 |
| 5 | 174 |
| 6 | 235 |
| 7 | 168 |
| 8 | 110 |
| 9 | 125 |
| 10 | 151 |
| 11 | 170 |
| 12 | 187 |
2022
| 1 | 183 |
| 2 | 159 |
| 3 | 250 |
| 4 | 182 |
| 5 | 188 |
| 6 | 134 |
| 7 | 260 |
| 8 | 152 |
| 9 | 196 |
| 10 | 162 |
| 11 | 159 |
| 12 | 125 |
2023
| 1 | 96 |
| 2 | 124 |
| 3 | 168 |
| 4 | 102 |
| 5 | 124 |
| 6 | 86 |
| 7 | 59 |
| 8 | 70 |
| 9 | 78 |
| 10 | 54 |
| 11 | 57 |
| 12 | 91 |
2024
| 1 | 75 |
| 2 | 104 |
| 3 | 125 |
| 4 | 20 |
| 5 | 0 |
| 6 | 0 |
| 7 | 0 |
| 8 | 0 |
| 9 | 0 |
| 10 | 0 |
| 11 | 0 |
| 12 | 0 |
finra.org · links
Financial Services
United States
English
afca.org.au
2,811
Australian Financial Complaints Authority (AFCA)
ebrd.com
5,926
European Bank for Reconstruction and Development (EBRD)
