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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.

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Data Catalog

Displaying 1 - 6 of 6 results

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

Financial Industry Networking Directory (FIND)

Categories
Representative Data
Description:

The Financial Industry Networking Directory (FIND)™ is a new FINRA service that looks to connect individuals with financial services firms that are recruiting for full-time employment and internship positions. Learn more below about how you can join and benefit from FIND.

Access Type
Public
Fee Structure
Subscription

FinPro

Categories
Representative Data
Description:

FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.

Access Type
Financial Professional
Fee Structure
No Fee

FINRA Disciplinary Actions

Categories
Firm Data
Representative Data
Description:

You can conduct a search for 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

General Annual Statistics

Categories
Corporate Financing Data
Firm Data
Representative Data
Description:

Statistics representing the work FINRA does as a regulator and an overview of the securities industry based on data we capture. Includes statistics on regulatory actions and corporate financing, registered representatives, and member firms.

Access Type
Public
Fee Structure
No Fee

Industry Snapshot

Categories
Firm Data
Representative Data
Description:

The FINRA Industry Snapshot  provides a high-level overview of the industry, including revenues of firms and how firms market their products and services. All of the data are reported in aggregate to respect the confidentiality of regulatory information.

Access Type
Public
Fee Structure
No Fee