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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.

Data Catalog

Displaying 11 - 20 of 59 results

Corporate Financing Report Cards

Categories
Firm Data
Description:

Report cards are created for firms to monitor timeliness of Corporate Financing filings. These report cards display statistics about late filings submitted to Corporate Financing.

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:

Reports cards published for firms to monitor their 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

Equity and Options Data

Categories
Equity Data
Description:

The Equities and Options screens offer information for Exchange Traded as well as Over-The-Counter (OTC) Traded Equities.

Access Type
Public
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

Equity Short Interest

Categories
Equity Data
Description:

FINRA publishes the short interest reports it collects from member firms for all exchange-listed and over-the-counter equity securities. 

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