Skip to main content

Browse Data Catalog

Browse the FINRA Data Catalog. You can filter the catalog by category, access type, or fee structure. More about how to work with FINRA Data.

Data Catalog

Displaying 1 - 10 of 48 results

Academic Corporate Bond TRACE Data

Categories
Fixed Income Data
Description:

The Academic Corporate Bond TRACE Data set contains historic transaction-level data on all transactions in corporate bonds reported to TRACE. This data product is available solely to institutions of higher education and is intended to support academic research on corporate bonds by providing academics with access to masked identifying information regarding the dealer reporting each transaction. 

Access Type
Academic
Fee Structure
Subscription

Bond Facts

Categories
Fixed Income Data
Description:

Look up bond information and order details by Bond symbol or CUSIP. Includes information on Bond Characteristics (Coupon, maturity date, call provisions); Recent Trade History (transactions details; inclusive of price history); Fee information (Context for Markup/Markdown, Other Transaction Expense); Yield; and Credit Ratings.

Access Type
Public
Fee Structure
No Fee

BrokerCheck

Categories
Firm Data
Representative Data
Description:

BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers.

Access Type
Public
Fee Structure
No Fee

Corporate and Agencies Capped Volume Report

Categories
Fixed Income Data
Description:

The Capped Volume Report illustrate capped average size trading volumes in Corporate, Agency and Structured Products reported to TRACE for the prior month. The data is grouped into sub product categories.

Access Type
Public
Fee Structure
No Fee

Corporate Financing Report Cards

Categories
Firm Data
Description:

Report cards created for firms to monitor timeliness of Corporate Financing filings.

Access Type
Firm
Fee Structure
No Fee

Cross-Market Supervision Report Cards

Categories
Firm Data
Description:

The Cross-Market Equities Supervision Manipulation Reports provide firms feedback on exceptions that were generated based on firms' order entries and trading activities in a given surveillance period. These reports are designed to assist firms with monitoring their supervision for trading behaviors that may be designed to manipulate the market.

Access Type
Firm
Fee Structure
No Fee

Daily List

Categories
Equity Data
Description:

The Daily List is a list of new issues, deleted issues, symbol and name changes, and other corporate actions for secruties reported to a FINRA equity trade reporting system as opposed to traded on a centralized exchange; namely, OTC Equity securities and historical OTCBB securities. 

Access Type
Public
Fee Structure
No Fee

Disciplinary Actions Online

Categories
Firm Data
Representative Data
Description:

FINRA disciplinary actions taken against firms and individuals for violations that were issued 2005 or later and are eligible for publication pursuant to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information). Results will also include opinions issued by the SEC and federal appellate courts that relate to FINRA disciplinary actions that have been appealed.

Access Type
Public
Fee Structure
No Fee

Disclosure Report Cards

Categories
Firm Data
Description:

Disclosure Report Cards monitor a firm's performance in reporting disclosure and non-disclosure events and CRD late filing fee information.

Access Type
Firm
Fee Structure
No Fee

Dispute Resolution Statistics

Categories
Investor Data
Description:

Investors can file an arbitration claim or request mediation through FINRA when they have a dispute involving the business activities of a brokerage firm or one if its brokers.  FINRA publishes aggregate statistics on dispute resolution including data on  hearings, cases, controversy types, security types, results, awards and more. 

Access Type
Public
Fee Structure
No Fee