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.
Academic Corporate Bond TRACE Data
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.
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.
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.
Corporate and Agencies Capped Volume Report
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.
Corporate Financing Report Cards
Report cards created for firms to monitor timeliness of Corporate Financing filings.
Cross-Market Supervision Report Cards
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.
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.
Disciplinary Actions Online
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.
Disclosure Report Cards
Disclosure Report Cards monitor a firm's performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
Dispute Resolution Statistics
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.