Alternative Display Facility
The Alternative Display Facility (ADF) is an SRO display only facility that is operated by FINRA.
Blocks Summary
Aggregated ATS trade data in NMS stocks that meets certain share based and dollar based thresholds.
Consolidated Short Interest
The Consolidated Short Interest data provides a single view of OTC short interest positions submissions across all exchanges.
Monthly Summary
Monthly aggregate trade data for OTC (non-ATS) trading data for each firm with trade reporting obligations under FINRA rules.
OTC Block Summary
Aggregated OTC (Non-ATS) trade data in NMS stocks that meets certain share based and dollar based thresholds.
OTC Daily List
OTC Daily List
Over-the-Counter Reporting Facility
The OTC Reporting Facility (ORF) is FINRA's service for reporting and disseminating trades in OTC Equity Securities executed off-exchange and trades in Restricted Equity Securities under Rule 144A.
Reg SHO Daily Short Sale Volume
Daily short sale aggregated volume by security for all short sale trades executed and reported to a FINRA trade reporting facility.
Threshold List
OTC Regulation SHO and Rule 4320 Threshold Securities.
Weekly Summary
Weekly aggregate trade data for OTC (ATS and non-ATS) trading data for each ATS/firm with trade reporting obligations under FINRA rules.
FINRA Rulebook
FINRA's current and historical rules and regulations
Industry Snapshot: Firm Registration Types
Breakdown of securities industry registered firms by type of registration.
4530 Customer Complaints
4530 customer complaint filings submitted by your firm.
Agency Debt Market Breadth
Market breadth calculations for Agency debt securities.
Agency Debt Market Sentiment
Market sentiment calculations for Agency debt securities.
Corporate 144A Debt Market Breadth
Market breadth calculations for Rule 144A corporate debt securities.
Corporate 144A Debt Market Sentiment
Market sentiment calculations for Rule 144A corporate debt securities.
Corporate And Agency Capped Volume
Capped volume calculations for corporate and agency debt.
Corporate Debt Market Breadth
Market breadth calculations for corporate debt securities.
Corporate Debt Market Sentiment
Market sentiment calculations for corporate debt securities.
Securitized Product Capped Volume
Capped volume calculations for securitized products.
TRACE
Trade Reporting and Compliance Engine (TRACE)
Treasury Daily Aggregates
Daily trading volume in US Treasury Securities reported to TRACE.
Treasury Monthly Aggregates
Monthly trading volume in US Treasury Securities reported to TRACE.
Accounting
Provides accounting transactions for a given date range.
Altered SSN and DOB
Get altered identifiers of registered individuals in the QA Test Environment.
Branch Delta
The dataset provides the ability to identify firm's branches whose information has changed within a given datetime range.
Branch List
Provides a list of active branches for a calling FIRM.
Broker Dealer Firm List
This dataset contains information about all broker-dealer firms that are registered with and regulated by FINRA.
Composite Branch
Provides comprehensive real-time data that FINRA has for a given Branch CRD.
Composite Individual
Delivers comprehensive real-time data that FINRA has for a given Individual CRD number.
Composite Individual Seed
Provides a JSON file download via API of all the individuals currently employed by the requesting firm and individuals terminated within the last 30 calendar days.
Firm Disclosures
Firm disclosure information.
Firm Profile
Basic information about a firm.
Firm Registration Status History
A complete listing of registration notices for a firm.
Firm Registrations
Firm registration information
Individual Delta
The dataset provides the ability to identify individual representatives whose information has changed within a given date and time range.
Individual Fingerprint
Delivers comprehensive real-time fingerprint data that FINRA has for a given Individual.
Individual Pre-Registration Search
Access the registration records of industry individuals being considered for employment.
Individual Pre-Registration Search v2
Access the registration records of individuals in the industry being considered for employment, along with complete disclosure information.Retirement Date: February 26, 2027Replaced by: U4FormPrefill
Individual Registration Validation
Validate the registration status of a registered individual with FINRA and the states independent of what firm they are affiliated with.
Individual Registration Validation Details
Validate the registration status including disclosure details of a registered individual with FINRA and the states independent of what firm they are affiliated with.
Registered Individual Search
Access CRD Numbers for registered individuals.
U4 Form Prefill
The U4 Form Prefill dataset can be used to prepopulate Form U4 Initial fields when submitting registration applications through the Submission API.