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.
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.
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.
Annual Reg Element Continuing Education
Annual Reg Element continuing education status information for registered individuals.
Branch Associated Individuals
Breakdown of registered individuals associated with each branch of a firm.
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.
Branch Office
Summary information about each branch associated with a firm.
Branch Office Associated Individuals
List of individuals associated with a specific branch identified by a branch CRD number.
Branch Office Details
Detailed information about each branch associated with a firm.
Branch Office Financial Activities
Financial activities conducted at each branch associated with a firm.
Branch Office Locations
Location information for each branch associated with a firm.
Branch Office Registrations
Registration information for each branch.
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.
Continuing Education
Continuing education status information for registered individuals.
Deficiencies
Registration deficiency information for registered individuals including regulator identification.
Disclosure
Disclosure information for registered individuals including disclosure type.
Disclosure Filings
Disclosure filings for a registered individual.
Employments
List of employment records for registered individuals including detailed firm information and termination reason.
FingerPrint
Fingerprint details of Individuals in a Firm.
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
IAR Continuing Education
Continuing education status information for investment adviser representatives.
Inactive Individual
Basic information about all individuals formerly employed by a firm.
Inactive Individual Branch Office Locations
Branch information for all individuals formerly employed by a firm.
Inactive Individual Employments
Employment information for all indivdiuals formely employed by a firm.
Inactive Individual Registration Status History
Registration status history for all individuals formerly employed by a firm.
Inactive Individual Registrations
Registration information for all indivdiuals formely employed by a firm.
Individual Delta
The dataset provides the ability to identify individual representatives whose information has changed within a given date and time range.
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.
Individual Registration Validation
Validate the registration status of a registered individual with FINRA and the states independent of what firm they are affiliated with.
Professional Designations
Detailed professional designation information for a registered individual.
Qualification Exams
Detailed information about the examination status of a registered individual.
Registered Individual Search
Access CRD Numbers for registered individuals.
Registered Individuals
Basic information about all individuals currently and formerly employed by a firm.
Registration Status History
History of registration statuses for a registered individual.
Registrations
Details of all registrations held by a registered individual.
Residential Locations
Home address information for registered individuals.