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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 - 10 of 15 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

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

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

Equity Report Cards

Categories
Firm Data
Description:

Equity Report cards created to help firms track their compliance with key equity trading rules related to OATS, Best Execution Outside-of-the-Inside, Market Order Timeliness, Trade Reporting and Reg NMS trade throughs.

Access Type
Firm
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

FINRA Gateway

Categories
Firm Data
Description:

FINRA Gateway is a portal for firms to access and submit data as needed for compliance functions, such as research, reporting and responding to requests.

Access Type
Firm
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

MSRB Report Cards

Categories
Firm Data
Description:

Created for firms, these reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.

Access Type
Firm
Fee Structure
No Fee