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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 11 - 20 of 49 results

Equity Short Interest

Categories
Equity Data
Description:

FINRA Rule 4560 requires FINRA member firms to report their short positions in all over-the-counter (OTC) equity securities to FINRA. Data is available online for one rolling year based on the settlement date provided in the Short Interest Reporting Deadlines and archived data is available via download.

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

FINRA Foundation

Categories
Investor Data
Description:

The Foundation serves as a repository for data describing the financial capability of American households. It interprets this data and enables research to help decision-makers and practitioners advance financial well-being in communities nationwide.

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

Fixed Income Distributions

Categories
Fixed Income Data
Description:

The Fixed Income Distributions file is a cumulative list of distributions that have been announced during the calendar year. These include cash, stock and in kind distributions as a result of a bankruptcy reorganization plan, default interest payments, or other distributions in fixed income securities. 

Access Type
Public
Fee Structure
No Fee

Fund Analyzer

Categories
Equity Data
Fixed Income Data
Description:

Originally introduced in 2005, the FINRA Fund Analyzer helps investors and financial professionals understand the impact of fees and potentially  available discounts on mutual funds, exchange-traded funds, exchange-traded notes and money market funds. The Fund Analyzer allows individuals to sort through and compare more than 30,000 products available to investors today and calculates how a fund's fees, expenses and discounts impact the value of a fund over time.

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