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ARTICLE · 17 AUGUST 2018

FINRA Publishes Annual "Industry Snapshot"

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FINRA released its first annual "Industry Snapshot," a publication containing year over year data on trading activity and statistics on FINRA-registered firms and representatives.

United StatesFinance and Banking
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FINRA released its first annual "Industry Snapshot," a publication containing year over year data on trading activity and statistics on FINRA-registered firms and representatives.

FINRA reported the following for 2017 as compared to 2016:

  • an increase in OTC market activity;
  • a decrease in the total number of National Market System ("NMS") stock shares that were traded, but an increase in the percentage of those shares that were reported as OTC;
  • an increase in Trade Reporting and Compliance Engine ("TRACE") activity for both securitized products and corporate and agency securities;
  • a decrease in the total number of FINRA-registered representatives;
  • an increase in the average number of FINRA-registered representatives per firm;

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