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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 31 - 40 of 49 results

OTC Transparency

Categories
Equity Data
Description:

FINRA publishes over-the-counter (OTC) trading information on a delayed basis for each alternative trading system (ATS) and member firm with a trade reporting obligation under FINRA rules. Security-specific information for firms with “de minimis” volume outside of an ATS is aggregated and published on a non-attributed basis.

The trading information is derived directly from OTC trades that ATSs/member firms report to FINRA’s equity trade reporting facilities.

Access Type
Public
Fee Structure
No Fee

Report on Examination Findings and Observations

Categories
Firm Data
Description:

Published each year, this Report on FINRA’s Risk Monitoring and Examination Activities (the Report) is designed to inform member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations. For selected regulatory obligations, the Report: (1) identifies the applicable rule and key related considerations for member firm compliance programs, (2) summarizes noteworthy findings from recent examinations and outlines effective practices that FINRA observed during its oversight, and (3) provides additional resources that may be helpful to member firms.

Access Type
Public
Fee Structure
No Fee

Risk Monitoring Report Cards

Categories
Firm Data
Description:

A collection of reports and report cards created for firms to monitor their risk. Includes display summaries and statistics related to various risk factors, including canceled trades, customer complaints, customer debits, and registered representative composition.

Access Type
Firm
Fee Structure
No Fee

Securitized Products Capped Volume Report

Categories
Fixed Income Data
Description:

The Securitized Products Capped Volume Report provides additional information on disseminated transactions whose size was subject to TRACE dissemination caps. The report shows average size (in millions) of capped transactions for Securitized Products reported to TRACE. The data is grouped into sub product categories including: TBA (Good Delivery and Non-Good Delivery), MBS, and ABS.

The report is published on the first business day of each month.

Access Type
Public
Fee Structure
No Fee

Short Sale Volume Data

Categories
Equity Data
Description:

Pursuant to a U.S. Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for off-exchange (i.e., OTC) trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF) or the Alternative Display Facility (ADF), as well as for trades in securities traded over-the-counter and reported to FINRA’s Over the Counter Reporting Facility (ORF).

Access Type
Public
Fee Structure
No Fee

Structured Product Activity Reports and Tables

Categories
Fixed Income Data
Description:

FINRA and Interactive Data Corporation have created a suite of aggregated data products for the Securitized Product market to benefit investors and other market participants. Investors can now gauge the activity levels in the market place as well as price levels by various sub-product types.

This end-of-day service represents the asset- and mortgage backed securities markets and is derived using only actual transacted prices from TRACE, the U.S. over-the-counter bond market mandated regulatory reporting and dissemination facility.

Access Type
Public
Fee Structure
No Fee

Symbol Directory

Categories
Equity Data
Description:

The Symbol Directory provides a search function to locate issues by name or symbol. The directory is available for both OTC Bulletin Board ®(OTCBB) issues and other-OTC issues.

Access Type
Public
Fee Structure
No Fee

The End-of-Day TRACE Transaction File

Categories
Fixed Income Data
Description:

The End-of-Day TRACE Transaction File includes all transaction data disseminated as part of Real-Time TRACE transaction data on that day. The End-of-Day TRACE Transaction File is provided to subscribers after the TRACE system closes at the end of each trading day, and is available separately for each data set for which Real-Time TRACE transaction data is available (i.e., the Corporate Bond Data Set, the Agency Data Set, SP Data Set and Rule 144A Data Set). This data product includes the same transaction data elements disseminated in the Real-Time TRACE transaction feed.

Access Type
Public
Fee Structure
Subscription

TRACE Data Feeds

Categories
Fixed Income Data
Description:

TRACE data is available in the form of data feeds, either directly from FINRA or from retransmission vendors. Parties wishing to receive real-time TRACE data via a data feed must enter into a Vendor Agreement directly with FINRA. This agreement stipulates, among other things, the terms of use and data usage reporting requirements. 

Access Type
Public
Fee Structure
Subscription

TRACE Enhanced Historical Data

Categories
Fixed Income Data
Description:

TRACE Enhanced Historical Data consists of transaction-level information including the price, the date and time of execution, transaction size and the yield. In addition, the data includes information previously not disseminated to the public, such as buy/sell indicators and counterparty (dealer or customer) information. FINRA makes historical data available 6 and 18 months after the transaction date, depending on the product, and publishes the information quarterly. Users must enter into a Historical Data Agreement directly with FINRA and pay applicable fees.

Access Type
Public
Fee Structure
Subscription