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Introduction

The  API Developer Center is about making it faster and easier for developers to find the information they need to build automated compliance solutions that improve risk management and lower regulatory cost using the FINRA API Platform.

The API Developer Center along with the API Console App on FINRA Gateway are the essential components neccessary for discovering, learning, and using the API Platform.

If you have any questions or difficulty getting started, reach out to the API team.

Getting Started

To get started with FINRA's API Platform first familiarize yourself with the content published here on the API Developer Center. FINRA's API platform is a sophisticated REST based solution with advanced querying capabilities. Becoming familiar with its features will help you build a proper connection to the platform.

Once familiar with the features of the platform, the next step will be to complete any preliminary steps that your organization may need to complete in order to onboard to the API Platform and get access to the API Console hosted on FINRA Gateway.

The API Console provides self-service API Credential provisioning and management features for API Developers. 


Please contact the API team with any questions on getting started.

Terms of Service

Info for the Firm SAA

The Super Account Administrator (SAA) for your firm is responsible for managing the accounts at your organization that require access to the FINRA API Console.

The API Console is a FINRA Gateway hosted app that allows appropriate individuals in your firm, authorized by the SAA or a designated Account Administrator (AA), to provision API Credentials for use with the FINRA API platform.

Provisioned API Credentials will be displayed in the Account Administration App in FINRA Gateway (labeled as Machine to Machine) and will be part of the annual FINRA entitlement account certification process, but can only be managed (create, update, delete) via the API Console.

The first step in providing authorized users with access to the FINRA API Console is to request that the FINRA Entitlement Team assign the API Console Entitlement to the SAA's FINRA Entitlement Admin Account. This step is required because as an extra level of security, FINRA has not automatically assigned the API Console Entitlement to SAA Admin Accounts.

To request access to this entitlement  the firm SAA must complete and submit an API Console Entitlement Request.This request will be processed by the FINRA Entitlement Team within 3 business days and the SAA will receive an email indicating that the API Console entitlement has been assigned to the SAA's Admin account. Please note that the API Console entitlement is assigned to the SAA's Admin account by default. The SAA may then delegate the entitlement by assigning it to an authorized account administrator (AA).

Once the SAA has been notified that the API Console Entitlement Request has been completed,  the API Console entitlement can be added to appropriate User Accounts at your firm. That API User will then have access to the API Console app on FINRA Gateway and can create API Credentials on behalf of the firm. The API Console entitlement is the only entitlement required to access the API Console. Optionally, the SAA/AA may wish to entitle the API User's account with the E-Bill Invoices entitlement if the user is authorized/responsible for reviewing/paying invoices for any fees associated with the FINRA API Service.

Here are some important considerations when entitling user accounts with access to the FINRA API Console app:

  • Only users that have the authority to bind the organization to the FINRA API Terms of Service and the payment of any fees associated with the use of the FINRA API Service should be granted access to the API Console app.
  • All fees associated with the use of the API Service will be invoiced through E-Bill, thus it may be appropriate to add the E-Bill Invoices entitlement to an API User account.

Please reach out to the API team if you have any questions regarding the API Console entitlement process. 

Note: The above steps are ONLY for the access to the API Console application. Refer to this for access to other FINRA Gateway applications. 

 

Affiliate Program

The FINRA API Platform allows affiliated FINRA member firms to use the FIRM API Credential without a fee, provided the parent firm maintains an active PAID credential. Only the firm identified as the parent will receive the API invoice on a monthly basis. Affiliated firms, however, are accountable for monitoring their data usage and will incur charges for any overages. Before establishing the parent-affiliate relationship, the following requirements must be met:

  1. All firms must be registered in the CRD System as affiliates.
  2. All firms must request access to the FINRA API Console using the API Console Entitlement Request Form.
  3. All firms must have an active FIRM API Credential in production.

Once these requirements are met, the SAA of the parent firm can contact API Support to establish the parent-affiliate relationship. 

Both parent and affiliate firms can create up to five FIRM credentials each, and each FIRM Credential has a data limit of 10GB per month. Monitoring data usage for each credential is possible via the API Console. It's crucial for affiliated firms to manage their data usage within the designated limits to avoid overage charges. To learn more about data overage fee see FAQs here. Once the parent-affiliate relationship is established, it cannot be changed except in cases of organization changes such as mergers or acquisitions.

Info for Other Organizations

Organization's within the financial services industry, that are not regulated by FINRA, can still access the FINRA API platform by following the steps outlined here.

The first step is to determine if your organization has a previous relationship with FINRA, defined as having a signed FINRA Entitlement Agreement (FEA) in place. Your organization will also have an Organization ID provided by FINRA and a designated Account Certification Representative(CRep) who is also an Account Administrator(AA) -- CRep(AA) -- for your organization.

If you are unable to determine if you organization has a FINRA Entitlement Agreement in place, contact the FINRA Support Center at (301) 869-6699.

If your organization does not have a previous relationship with FINRA, then step one is requesting onboarding to the FINRA Entitlement Program for the API Platform.

To request onboarding an officer of your organization should complete and submit a FINRA Entitlement Account Administrator request.This request will be processed by the FINRA Entitlement Team within 3 business days and the individual designated as the Account Administrator (AA) and Certification Representative (CRep) -- CRep(AA) -- will receive an email when their FINRA Entitlement Admin Account has been created. Please visit FINRA.org for more information about the FINRA Entitlement Program and the FINRA Account Management System.

Once the CRep(AA) has been notified that the FINRA Entitlement Account Administrator request has been completed, the  API Console entitlement can be added to appropriate User Accounts at your organization (see the Account Management User's Guide). That user will then have access to the API Console app on FINRA Gateway and can create API Accounts on behalf of the organization. The API Console entitlement is the only entitlement required to access the API Console. Optionally, the CRep(AA) may wish to entitle the API User's account with the E-Bill Invoices entitlement if the user is authorized/responsible for reviewing/paying invoices for any fees associated with the FINRA API Service.

Here are some important considerations when entitling users with access to the FINRA API Console app:

  • Only users that have the authority to bind your organization to the FINRA API Terms of Service and the payment of any fees associated with the use of the API Service should be granted access to the API Console app.
  • All fees associated with the use of the API Service will be invoiced through through FINRA's E-Bill app on FINRA Gateway, thus it may be appropriate to add the E-Bill Invoices entitlement to an API User account.
  • the E-Bill Invoices entitlement to an API User account.

Please reach out to the API team if you have any questions regarding the API Console entitlement process. 

Note: The above steps are ONLY for the access to the API Console application. Refer to this for access to other FINRA Gateway applications. 

If your organization has a previous relationship with FINRA, defined as having a signed FINRA Entitlement Agreement (FEA) in place and a designated Certification Representative (CRep) who is also an Account Administrator (AA) -- CRep(AA) --, then that CRep(AA) should request  that the FINRA Entitlement Team assign the API Console Entitlement to their FINRA Entitlement Admin Account. This step is required because as an extra level of security, FINRA has not automatically assigned the API Console Entitlement to AA Admin Accounts.

To request access to this entitlement the CRep(AA) of your organization should complete and submit an API Console Entitlement Request.This request will be processed by the FINRA Entitlement Team within 3 business days and the CRep(AA) will receive an email indicating that the API Console entitlement has been assigned to their Admin account. Please note that the API Console entitlement is assigned to the CRep(AA) who filled out the form by default. The CRep(AA) may then delegate the entitlement by assigning it to another authorized account administrator(AA).

Once the CRep(AA) has been notified that the API Console Entitlement request has been completed, the  API Console entitlement can be added to appropriate User Accounts at your organization (see the Account Management User's Guide). That user will then have access to the API Console app on FINRA Gateway and can create API Accounts on behalf of the organization. The API Console entitlement is the only entitlement required to access the API Console. Optionally, the CRep(AA) may wish to entitle the API User's account with the E-Bill Invoices entitlement if the user is authorized/responsible for reviewing/paying invoices for any fees associated with the FINRA API Service.

Here are some important considerations when entitling users with access to the FINRA API Console app:

  • Only users that have the authority to bind your organization to the FINRA API Terms of Service and the payment of any fees associated with the use of the API Service should be granted access to the API Console app.
  • All fees associated with the use of the API Service will be invoiced through FINRA's E-Bill app on FINRA Gateway, thus it may be appropriate to add the E-Bill Invoices entitlement to an API User account.

Please reach out to the API team if you have any questions regarding the API Console entitlement process. 

Note: The above steps are ONLY for the access to the API Console application. Refer to this for access to other FINRA Gateway applications. 

The API Console

The API Console is a FINRA Gateway hosted app that provides a fully automated, self-service API credential management capability to FINRA’s API customers.

The process for accessing the API Console depends on whether you are affiliated with an organization regulated by FINRA, affiliated with an another organization not regulated by FINRA (e.g. vendor, service provider, insurance company), or an individual just interested in learning about the API Platform and testing it out, or using the platform for your own non-commercial purpose.

The sections below describe the two key concepts necessary for understanding how access to the API platform is determined(API User Types and API Credential Types), and provide detailed instructions for getting started with the API console depending on your role and purpose.

Please feel free to contact the API Team with any questions regarding the API Console or for a demonstration of its capabilities.

API User Types

You are a Firm User if you are affiliated with an organization regulated by FINRA such as broker-dealer or a dually registered broker-dealer/investment advisor.

You will obtain access to the FINRA API Console via your firm's designated Super Account Administrator (SAA) or an Account Administrator (AA).

If your firm is new to the API platform, the firm's SAA will first need to request that the API Console entitlement is assigned to the SAA's FINRA Entitlement Admin Account. Please direct the SAA to this page for specific details on getting access to the API Console Entitlement from the FINRA Entitlement team.

Once the SAA's Admin Account is assigned the API Console entitlement, the SAA will authorize your access to the API Console by either creating a FINRA Gateway User Account for you with the API Console entitlement, or by adding the API Console entitlement to your existing FINRA Gateway User Account.

If you have responsibility for reviewing/paying invoices associated with the FINRA API Platform via via FINRA's E-Bill application (also accessed via FINRA Gateway), the SAA will also have to add the E-Bill Invoices entitlement to your account. Please discuss this need with your SAA.

Once your account is created/update you can login to the console by selecting the Console button in the navigation bar. This will redirect you directly to the API Console app in FINRA Gateway.

As a Firm user you will be able to provision three types of API Credentials:

  • Firm Credential
  • Public Credential
  • Mock Credential

See the API Fee Page for more details on the capabilities provided by each type of credential.

You may wish to create an Individual API User Account to begin testing and learning about the API Platform, before requesting access to the API Console via your firm SAA. This is possible by following the instructions for the Individual User Type below and is a good way to get started quickly. However, a Firm Credential is the only way to get access to data associated with your specific firm, such as registration data, and the Individual Account only allows provisioning of Public and Mock Credentials.

 

TIPS:

  • If you do not know who the SAA is for your firm, contact the FINRA Support Center at (301) 869-6699.
  • If you create an Individual API User Account to get started, you will still need to request a Firm User Account from your SAA to access Firm information and other datasets. An Individual Account cannot be upgraded to a Firm Account.

The Organization Credential type is available to other organizations not regulated by FINRA, including product manufacturers (example insurance companies, mutual fund organizations), transfer agents, clearing firms, vendors and service providers. 

You will obtain access to the FINRA API Console via your organizations's designated Account Administrator (AA).

If your organization does not have a previous relationship with FINRA, then step one is to have an officer of your organization request onboarding to the FINRA Entitlement Program for the API Platform.

A previous relationship with FINRA is defined as having a signed FINRA Entitlement Agreement in place. Your organization will also have an Organization ID provided by FINRA and a designated Account Certification Representative(CRep) who is also an Account Administrator(AA) for your organization. Please direct an officer to this page for specific details on requesting onboarding which includes designating an individual to be an AA and CRep -- CRep(AA) -- for your organization.

If your organization has a FINRA Entitlement Agreement in place but is new to the API platform, then the CRep(AA) will first need to request that the API Console entitlement be assigned to their FINRA Entitlement Admin Account. Please direct the CRep(AA) to this page for specific details on getting access to the API Console Entitlement from the FINRA Entitlement team.

Once the CRep(AA) Admin Account is assigned the API Console entitlement, the CRep(AA) will authorize user access to the API Console by either creating a FINRA Gateway User Account for you with the API Console entitlement, or by adding the API Console entitlement to your existing FINRA Gateway User Account.

If you have responsibility for reviewing/paying invoices associated with the FINRA API Platform via FINRA's E-Bill application (also accessed via FINRA Gateway), the CRep(AA) will also have to add the E-Bill Invoices entitlement to your account. Please discuss this need with your CRep(AA).

Once your account is created/update you can login to the console by selecting the Console button in the navigation bar. This will redirect you directly to the API Console app in FINRA Gateway.

As an Organization User you will be able to provision three types of API Credentials:

  • Organization Credential
  • Public Credential
  • Mock Credential

See the API Fee Page for more details on the access provided by each type of credential.

You may wish to create an Individual API User Account to begin testing and learning about the API Platform, before requesting access to the API Console via your organization CRep(AA). This is possible by following the instructions for the Individual User Type below and is a good way to get started quickly. However,  the Individual Account only allows provisioning of Public and Mock Credentials, and an Organization Credential will be required to access the capabilities associated with the Organization Credential Type.

 

TIPS:

  • If you do not know if your organization has a FINRA Entitlement Agreement in place, or who the CRep(AA) is for your organization, contact the FINRA Support Center at (301) 869-6699.
  • If you create an Individual API User Account to get started, you will still need to request an Organization User Account from your CRep(AA) to access the capabilities associated with an Organization Credential Type. An Individual Account cannot be upgraded to an Organization Account.

You are an Individual User if you plan to access the API Platform for your own purpose, regardless of your affiliation with a firm or other organization.

You will obtain access to the API Console by creating an Individual API User Account by selecting the Console button in the Navigation Bar and then selecting the Create Account Here link on the FINRA login page.

You will receive the credentials for your Individual User Account via email including a password reset link.

NOTES:

  1. Check your SPAM filter or JUNK MAIL folders for the credential email
  2. The password reset link expires in 1 hour so prompt action is required. If the link expires you must contact the FINRA Support Center at (301) 869-6699 to have another password reset link sent to your email address.
  3. The account password expires and will have to be changed every 120 days. Obtain a new password here.

Once your account is created you will be redirected directly to the API Console app in FINRA Gateway. 

As an Individual User you will be able to provision two types of API Credentials:

  • Public Credential
  • Mock Credential

Individual Accounts are intended for developers who want to begin exploring and testing the API Platform before committing to an integration effort, and for individual investors, researchers, etc. that need access to public data provided by FINRA via the API Platform. It is not intended for commercial purposes at this time.

API Credential Types

The Firm Credential Type can be provisioned by Firm Users who have been granted access to the API Console by the firm's SAA or AA.

See the Fee Structure page for details on the capabilities offered by the Firm Credential.

The Organization Credential Type can be provisioned by Organization Users who have been granted access to the API Console by the organization's AA.

See the Fee Structure page for details on the capabilities offered by the Organization Credential.

The Public Credential Type can be provisioned by Firm, Organization, and Individual Users who have access to the API Console.

See the Fee Structure page for details on the capabilities offered by the Public Credential.

The Mock Credential Type can be provisioned by Firm, Organization, and Individual Users who have access to the API Console.

Each dataset delivered via the API platform will have mock data available. The mock data will be a representative sample but may be randomized. This data can be used by developers to evaluate available APIs and to test their integrations with the FINRA API platform.

 

See the Dataset Catalog for details on available datasets.

A Mock Credential can only be used with mock datasets. This means the dataset name must have "MOCK" appended to the end of the name. (e.g. preRegistrationIndividualMock). 

Firm and Organization credentials now CAN also access mock datasets.

Creating an API Credential

An API Credential is required to make API requests on the FINRA API platform. It is the equivalent of a username and password for logging into a website or application, but is used in the Authorization header of all API requests to authenticate the API client (AuthZ) with the API platform, and to authorize (AuthN) the API client to access the data and services on the platform.

Each API credential you create will have an API Client ID (created by the API Console) and an API Client Secret (provided by you when activating the API credential as described below). Each API credential is linked to the UserID you used to login to FINRA Gateway and access the API Console app.

Once you have access to the API Console and have logged in to FINRA Gateway, you will see the API Credentials view with an empty My Credentials tab.

api console screenshot

 

To create your first credential select either ADD API CREDENTIAL button to access the API Credential Details form.

API Console- My Credential Tab

Complete this form, agree to the FINRA API Terms of Service and select the CREATE button to submit the request.

Once created the new credential will be added to the credential list in the My Credentials tab.

API Console- My Credential Tab

 

Note that the API Secret create link is sent to the email address of the API Console user (subject: FINRA API Developer Center – Action Required) and must be used to choose an API Secret and complete the process of activating the API Credential. See the API Credential Creation Tips below for important information about activating the API Credential.

When you have received the activation email select the Create API Client Secret button in the message to be taken to the FINRA Reset Password page.

reset password page

Enter the API Client ID in the User ID text box and provide your chosen password (API Client Secret). Select the SAVE button and the API Credential will now be activated.

Activated API Credential
 

Congratulations you have created your first API Credential for use with the FINRA API Platform. Now review these details to put the new credential to work.

IMPORTANT: API Credential Creation Tips
  1. The API Credential name is an alias that you provide to help you remember your use intention for the credential. It can be changed in the API Console at any time (feature coming soon).
  2. The Type dropdown allows you to select the type of credential you would like to create. The allowable selections are based on your user type. For example,  if you are logged-in to the API Console as an Individual User, the allowable selections will include mock and public.
  3. The Total Fee Per Month will change to reflect any fees associated with a credential type. When you select the SAVE button to create a credential with an associated fee, your organization will be invoiced for that credential on E-Bill.
  4. The API Secret create link sent via email EXPIRES in 24 hours. If the link expires, you will need to contact the API Support team to have another create link sent via email (a client secret reset feature is coming soon).
  5. You will also receive the API Client Id in a separate email (subject: FINRA API Developer Center – Important Information). You will need the API Client Id when activating the API credential.
  6. Look in your Junk Mail/Spam Filters for the FINRA API email messages if you do not receive them within a few minutes. If you do not receive the email messages within an hour contact the API Support team to let us know.
  7. When activating the API Credential and choosing an API Secret note that the User ID you are asked to provide is the Client ID shown in the My Credentials tab for the API Credential you are activating and NOT the User ID you used to login to FINRA Gateway.
  8. Note that the API Secret expires in one year and will need to be reset it via the API Console (feature coming soon).

API Platform Basics

The sections below provide an overview of the basic features of the FINRA API Platform.

Authorization

The FINRA API Platform authentication and authorization scheme is based on OAuth 2.0.

OAuth 2.0 enhances security by replacing the use of long-lasting credentials with limited life span tokens, reducing the potential of exposing an API Credential.

The overall authentication flow is:

  1. API client sends a  POST request to the FINRA Identify Platform (FIP) using the API Client ID and API Client Secret associated with an API credential (created via the API Console) as a Basic Auth token in the Authorization Header.
  2. Use "access_token" returned from FIP as a Bearer token in the Authorization Header to invoke the required FINRA API endpoint(s).
  3. Use "expires_in", returned from FIP as the number of seconds until expiry, to determine the expiration time of the "access_token" and regenerate the access_token via another FIP request before this time, or cache the access_token for 30 minutes before regenerating.

OAuth 2.0 Flow

 NOTES:

  • The FIP endpoint for generating an access_token is: https://ews.fip.finra.org/fip/rest/ews/oauth2/access_token?grant_type=client_credentials.
  • API Client must use a POST request
  • The Basic Authorization header sent to the FIP access_token endpoint contains the word Basic followed by a space and a base64-encoded string containing "apiclientid:apiclientsecret".  Note that the colon ":" is required in the token string before it is base64 encoded.
  • The API Client ID and API Client Secret are provisioned through the API Console.
  • The access_token returned by FIP is used as a BEARER token in the Authorization header (Bearer access_token) of API requests and not a Basic Auth token.
     
Request
curl --location --request POST "https://ews.fip.finra.org/fip/rest/ews/oauth2/access_token?grant_type=client_credentials" --header "Authorization: Basic NzVjNzQ2YTEwNjY2NGJjZmJiNGM6UkVWIGluIGdvIGnRzIQ=="

 

Response
{
    "access_token": "*AAJTSQACMDIABHR5cGUAA0pXVAACUzEAAjAx*eyJ0eXAiOiJKV1QiLCJjdHkiOiJKV1QiLCJhbGciOiJIUzI1NiJ9.ZXlKMGVYQWlPaU pLVjFRaUxDSmxibU1pT2lKQk1USTRRMEpETFVoVE1qVTJJaXdpWVd4bklqb2laR2x5SW4wLi56RlNXS09XZklKX1FJT3htWEZtalpB LjF4LVVCMF9OdG85WmhkZlRvTW10dXNNZkxGMUN6MS0tVVVKYTYzYXBwdm8xWExVYzRLXy1raUVEOHFpRXpLZU14aUtLWDc1eTRwcVc4eVlDMs",
    "scope": "any",
    "token_type": "Bearer",
    "expires_in":"43170"
}

 

Request Headers

The API platform supports the following headers in all API requests:

header required description default
Authorization required Contains the word Bearer followed by a space and an access_token generated from the FINRA Identity Platform (FIP) n/a
Accept optional

Can be used to specify a format for the data returned. Supports (application/json and text/plain). If the native data format cannot convert between JSON/CSV, then a status code of 400 will be returned. If an unsupported MIME type is supplied, then a 406 is returned.

text/plain
Data-API-Version optional Used to specify version of the API to use. version 1

Response Headers

All responses to API requests may include the following response headers:

header description
Content-Type Set to match the value of the request's Accept header unless an error occurred, in which case it will be set to application/json. Possible values include application/json and text/plain.
FINRA-api-request-id This is the unique tracking id for the request made. Use this if contacting FINRA about this request.
Record-Total Total records found at the time of the request. Use this value when paging through large datasets to determine when all data has been retrieved.
Record-Offset Set to match the offset value provided with the request.
Record-Limit Set to match the limit value provided with the request or the platform maximum limit, whichever is smaller. 
Total-Records-On-Page Total number of records returned for this page. This will be default number of records for the page, except for the last page, this might be less than the default.
Record-Max-Limit  Set to the maximum number of records that will be returned by the platform, regardless of the size of the response payload. Use this header to build an API client that can adapt to future record limit value changes.
Response-Payload-Max-Size  Set to the maximum payload size (in MB) that will be returned by the platform, regardless of the number of records returned. Use this header to build an API client that can adapt to future response payload size changes.
Location Contains a URL that will be used as the second leg of the operation to check the status of the asynchronous request.

Platform Usage Limits

FINRA reserves the right to limit the number of requests made by an API Client, the number of records returned in a response or the size of a response payload, as well as other parameters as necessary to ensure the reliability, performance, and integrity of the API platform.

The API platform enforces the following throttling limits:

  1. Sychronous requests:   20 requests per second per IP address
  2. Asynchronous requests: 20 requests per hour per dataset per API account

Maintaining a reliable, performant API platform is a joint responsibility of the FINRA API team and all API users. Adhering to the following guidelines will help ensure the integrity of the platform:

  1. Only access as much data as needed to accomplish your objective or use case. Use compare filters and the other POST filter parameters to reduce the amount of data returned in a response whenever possible.
  2. Utilize a GET request only when trying to sample a small number of records using the limit parameter. Otherwise, the POST request should be used in order to filter the data on each request. NOTE: This guideline does not apply when using asynchronous requests and polling for the async result or accessing the async response file, which should utilize GET requests.
  3. Understand the data you are trying to access. In many cases, the data is static after a period of time and there is no need to repeatedly download historical data. For example, most of the data available via the Equity API is generally static after one year. Therefore adjust your access patterns to avoid downloading historical data over one year old on a recurring basis.
  4. Develop sound algorithms that access available data in smaller traunches rather than simply accessing as many records as possible on each requests. Each dataset offers a number of fields that can be used in filters such as trade dates, week and month start dates, tier levels, CRD numbers, etc.
  5. Utilize asynchronous requests whenever accessing a large number of records as this will allow you to obtain more records per API request while helping to protect the platform.
  6. Utilize asynchronous requests in combination with the available historical datasets (e.g. weeklySummaryHistorical).
  7. Brute force algorithms that simply run 24*7*365 and continuously access the same data are never appropriate and are subject to being blocked.

The API platform enforces two limits regarding the maximum amount of data returned by an API request:

  • Maximum Record Limit: the maximum number of records returned by an API request. 
  • Maximum Payload Size: the maximum payload size returned in the response payload.
  • Whichever limit is reached first will govern the amount of data returned. 

 The API platform limits the number of records that can be returned from a individual API request:

  1. Synchronous requests will return a maximum of 5000 records for any one API request
  2. Asynchronous requests will return a maximum or 100,000 records for any one API request.

NOTE : The API record limit defaults to 1000 unless a larger number is specified using the limit query string (GET) or request parameter (POST).

The API platform limits the amount of data that can be returned in the body of an individual API request:

  1. Synchronous requests will return a maximum of 3MB of data in the response body of any one API request.
  2. Asynchronous requests can return any amount of data and are not limited to the 3MB response body size.

When working with large datasets that contain more records than the maximum record limits (5,000 synchronous /100,000 asynchronous) the API user must design an algorithm to access the data in traunches that honor the platform usage limits.

The key request parameters that facilitate accessing data in traunches include:

  • Limit parameter: Number of records to return. The default value (if limit parameter is not provided on a request) is 1000. 
  • Offset parameter: Record number to start with (exclusive). For example, if the offset is 0 and the limit is 20, then records 1 to 20 are returned for a total of 20 records. If the offset is 10 and the limit is 10, then records 11 to 20 are returned.

IMPORTANT:

The offset parameter has a maximum value of 500,000. The effect of this limit is that a maximum of 505,000 records can be accessed synchronously, and a maximum of 600,000 records can be accessed asynchronously, without the use of additional filters. For example, the weeklySummary dataset contains more than 20 million records. Because of the 500,000 offset limit it is not possible to access all 20M+ records simply by increasing the offset parameter until all data is accessed.

Instead the API user would need to utilize filters in conjunction with the limit and offset parameters to access the entire range of records in the dataset. In the case of the weeklySummary dataset, for example, the API user might filter the dataset by the weekStartDate and tierIdentifier fields to reduce the overall size of the data and then page through that traunch of data using the limit and offset parameters as needed. The data access algorithm can then step through the available weekStartDate and tierIdentifier values to access the entire dataset in a manner consistent with the platform usage limits.

There are a number of  response headers that can be used to page through larger datasets in compliance with the response size and offset limits, including:

  • Record-Total response header: Total records found at the time of the request. Use this value when paging through large datasets to determine when all data has been retrieved.
  • Record-Offset response header: Set to match the offset value provided with the request.
  • Record-Limit response header: Set to match the limit value provided with the request or the platform maximum limit, whichever is smaller. 
  • Record-Max-Limit response header: Returns the current maximum number of records that will be returned by the API platform. Use to build a flexible integration that can adapt to future record limit changes.
  • Response-Payload_Max_Size response header: Returns the current maximum payload size (in MB) returned by the API platform. Use to build a flexible integration that can adapt to future payload response size changes. Applies only to synchronous API requests.

Notes:

  1. To maximize the number of records returned in a response minimize the number of fields you return and use the text/plain Accept header on  your requests whenever possible (e.g. the Equity datasets support text/plain).
  2. API clients should count the number of records returned in each response in order to ensure all expected data is returned, and to adapt future requests if less data than expected was returned because the record and/or the response payload size limits are reached.

Time Zones

All date and time related fields in the API requests are interpreted as Eastern Standard Time. Date/time fields returned in an API response are returned in the same time zone as the raw data when initially stored. No time zone conversion is performed.

Troubleshooting

The following API response codes are returned by the Data API platform:

HTTP status code Reason
200 OK
201 Created
204 No Content
400 Bad Request
410 Unauthorized
403 Forbidden
404 Not Found
405 Method Not Allowed
406 Not Acceptable
409 Conflict
415 Unsupported Media Type
500  Internal Server Error
502 Bad Gateway
503 Service Unavailable
504 Gateway Timeout


The 200 status code is returned for successful requests even when the request returns no data. For requests receiving application/json output the response body will contain any empty JSON array. For requests receiving text/plain output the response body will contain the header row with no data rows.

The 4xx status codes are returned when a problem exists with a request. The response body will contain a JSON structure with additional information about the error.

5xx status codes are returned when there is a service level error that cannot be identified. The API support team is notified of all error conditions therefore it is not necessary to report these errors via the Support Center, unless the error persists for an extended period of time.

{
"statusCode": 400,
"statusDescription": "Bad Request",
"requestId": "ba7c841a-5322-4e07-863a-a44f09a5fc59",
"message": "Invalid date field format. Must be yyyy-MM-dd or yyyy-MM-dd HH:mm:ss.SSS",
"dataRequest": {
"action": "POST",
"internalParams": {},
"datasetGroup": "OTCMarket",
"datasetName": "weeklySummary",
"fields": [],
"dateRangeFilters": [
{
"description": "Filter used to specify a date time range of format (yyyy-MM-dd | yyyy-MM-dd HH:mm:ss(.SSS)). For example, 2017-02-10 21:30:23. Start and End dates are inclusive.",
"startDate": "2017-01-01",
"endDate": "2399-12-31",
"fieldName": "weekStartDate"
}
],
"domainFilters": [],
"compareFilters": [
{
"description": "Filter used to compare field values using traditional equal, not equal, gt, lt, gte, or lte logic.",
"fieldName": "tierIdentifier",
"fieldValue": "T2",
"compareType": "EQUAL"
},
{
"description": "Filter used to compare field values using traditional equal, not equal, gt, lt, gte, or lte logic.",
"fieldName": "weekStartDate",
"fieldValue": "201-03-11",
"compareType": "EQUAL"
},
{
"description": "Filter used to compare field values using traditional equal, not equal, gt, lt, gte, or lte logic.",
"fieldName": "summaryTypeCode",
"fieldValue": "ATS_W_SMBL",
"compareType": "EQUAL"
},
{
"description": "Filter used to compare field values using traditional equal, not equal, gt, lt, gte, or lte logic.",
"fieldName": "issueSymbolIdentifier",
"fieldValue": "ELAN.V",
"compareType": "EQUAL"
}
],
"sortFields": [
"issueSymbolIdentifier",
"marketParticipantName"
],
"limit": 1000,
"offset": 0,
"delimiter": ",",
"quoteValues": true,
"format": "text/plain"
}
}

 

Service Availability

The API platform is available 24/7. All scheduled maintenance is done outside the window of 8am-8pm on weekdays.

Base URL

  PROD QA Test
Base URL https://api.finra.org https://api-int.qa.finra.org

 

 

Important:

All API requests must use HTTPS protocol.

QA Test Environment

The FINRA API Platform has added a QA Test Environment to help customers identify and resolve any issues or bugs in the integration process prior to production deployment.  

Key Features and Benefits:

  • Seamless Integration Testing: The QA Test Environment replicates all the functionality available in the production environment, providing you with a reliable and accurate testing environment.
  • Easy Access: Accessing the Test Environment is simple and straightforward. You can create API credentials through the user-friendly API Console in our dedicated FINRA Gateway (QA). To request FINRA Gateway (QA) account, the SAA/AA must complete and submit an API Console Test Environment Account Request and meet the following requirements.
    • The firm/organization must already be onboarded to production. To learn more about how to get access to API Console in production, see here.
    • An Individual whose test account is being requested must already have a FINRA Gateway account with an entitlement to access API Console in production
    • At least one Firm or Organization credential must be provisioned using the API Console in FINRA Gateway production for the firm/organization. To learn more about how to create credential see here.
  • Cost-Effective Testing: We understand the importance of efficient testing without incurring additional costs. Therefore, creating and using credentials in the Test Environment are entirely free of charge.
  • Data Limit Exemption: Usage in the Test Environment does not count against the 10GB monthly data limit per credential. This allows you to thoroughly test your integrations without any limitations.
  • Data Refresh: To ensure the utmost accuracy, data in the Test Environment is refreshed from the production environment twice a year. Please note that Social Security Numbers (SSNs) and Dates of Birth (DOBs) are obfuscated, while the remaining Personally Identifiable Information (PII) remains consistent with the production environment.
  • Availability: While we consistently work towards ensuring high availability, the environment may experience intermittent periods of downtime due to scheduled releases and essential maintenance. We are committed to minimizing disruptions and will make every effort to provide advance notice whenever possible to keep you informed about any scheduled downtime.

Environment links: 

Query API

API Basics

Datasets

The API platform utilizes datasets as part of the Query API to deliver a variety of data via the /data endpoint. All datasets are associated with a dataset group and have a dataset name. The  /data endpoint utilizes one of the following structures:

/data/group/{group name}/name/{dataset name}

or

/data/group/{group name}/name/{dataset name}/id/{id}

Each dataset has a mock version associated with it as well as the production version. The mock dataset appends the word "MOCK" to the end of the production dataset name to signify that the data returned is mock and not production data.

You can explore documentation for available datasets in each category of Query API from the navigation menu on the left.

Single Record Datasets

Single record datasets return a single record based on the user specified primary id field and follow the /data/group/{group name}/name/{dataset name}/id/{id} structure.

The metadata for the dataset will identify a Primary ID if the dataset supports the single record structure.

An example of a single record dataset is the Registration Validation dataset.

Historical Datasets

In addition to the production and mock dataset versions, a dataset may also have a historical version.

Historical datasets contain data that is typically more than a year old and facilitate access to a large span of prior period data. Historical datasets are identified by appending "HISTORIC" to the end of the production dataset name. Utilize the historical datasets to access previous period data and the production dataset for current period data (generally the last rolling twelve months of data).

Historical datasets provide limited filtering capability:

  • Only specific fields in the dataset can be used in a compareFilter.
  • The compareType must be EQUAL
  • Only one time based field can be filtered (e.g. date field).

In addition, historical datasets do not support sorting.

Explore the filtering details for each specific historical dataset by selecting the dataset links in the navigation menu on the left. Or use the /metadata endpoint to see more information about available filtering options for specific historical datasets.

API Request Types

The API platform supports both synchronous and asynchronous requests.

The request type is specified using the "async" query parameter on GET requests: api.finra.org/{resource path}?async=true and as a request parameter on POST requests: "async" : true. 

The async parameter defaults to false if not provided, which indicates a synchronous request.

Synchronous requests (async=false) are RESTful API requests that return a status code and a response body. Once the response body is received, the synchronous operation is complete. A status code of 200 indicates a successful request.

Synchronous requests are best used when the API client is filtering a large dataset to return a limited dataset, or when downloading data within a small time period such as a day. If a synchronous request times out, an asynchronous request should be used.

Aynchronous requests (async=true) behave differently in that they are a three-legged operation. The first leg of the operation is identical to the request that is made using the synchronous request type except the async  parameter is set to true.

The response to this request includes a status code but DOES NOT include the response body. Instead the response includes a Location header that contains a URL that will be used as the second leg of the operation to check the status of the asynchronous request. Note that the status code will be set to 202 when the initial async request is successful and the Location header has been set to the status URL.

The format of the URL in the Location header is: api.finra.org/async-requests/{resource path}/{request id}.

The API client should invoke the status URL on a recurring basis (polling) until a status code of 200 is received. Note that this request requies a Bearer Token. A status code of 202 will be returned if the asynchronous request is still pending. The recommendation is to poll using the status URL no more than once per minute until a status code of 200 is received.

The response body of the status request will contain the request id parameter (requestId) of the asynchronous operation and a status parameter (status). The status will be set to pending when the status code returned is 202. It will be set to complete when the status code returned is 200.

The response body also contains two additional parameters when the status is complete. The resultLink parameter contains a pre-signed AWS S3 URL that points to the request results (the dataset). The expires parameter will contain an ISSO 9001 UTC time code indicating when the pre-signed resultLink will expire. The API client must invoke the pre-signed URL to obtain the dataset result prior to it expiring, or must restart the asynchronous operation from the beginning. The result will expire 2 hours after a status code of 200 is received from invoking the status URL or 24 hours after the result dataset is created,  whichever is earlier

Important

Do not provide an authorization header when accessing the resultLink URL as it includes an embeded authorization token as a query parameter and the request will return a 400 status code if an authorization header is provided.

Asynchronous Request Example

  Action Request Response
1

Submit Async Request

GET: api.finra.org/data/group/firm/name/registeredindividual?async=true

POST: api.finra.org/data/group/firm/name/registeredindividual

{
  "async":true, 

   "limit":100000,

  "offset":200000,
}

StatusCode: 202

Response header "Location" has the status link. 

The response payload is empty.

2 Check status of request

GET:  api.finra.org/async-requests/group/firm/name/registeredindividual/0ba2c6e6-c13b-4a47-989a- c47106ab98ce

StatusCode: 202

{
   "requestId": "0ba2c6e6-c13b-4a47-989a-c47106ab98ce",
   "status": "pending"
}

3 Check status of request

GET: api.finra.org/async-requests/group/firm/name/registeredindividual/0ba2c6e6-c13b-4a47-989a-c47106ab98ce

StatusCode: 200

{
   "requestId": "0ba2c6e6-c13b-4a47-989a-c47106ab98ce",
   "expires": "2020-06-26 19:05:38 UTC",
   "resultLink": {pre-signed S3 URL}
   "status": "complete"

Additional Considerations

Platform Usage Limits apply for both synchronous and asynchronous requests. Please review this information in order to design an API integration that is performant and that protects the overall integrity of the API platform.

The response from both synchronous and asynchronous requests include Response Headers that are important when dealing with the platform usage limits. Note that the reponse headers are only included for asynchronous requests when the status is complete (status code 200).

Sorting Restrictions

Due to the performance implications of API users trying to sort large datasets (some of which contain tens of millions of records) utilizing the FINRA API platform, the use of the sortFields request parameter is restricted.

The use of the sortFields parameter requires that the API request also includes a compareFilter with a compareType of EQUAL on any partition fields associated with the dataset. For example:

1. The weeklySummary dataset contains the weekStartDate and tierIdentifier partition fields. A compareFilter with compareType EQUAL is required for both of these fields when including the sortFields parameter in an API request.

2. The blocksSummary dataset contains the monthStartDate partition field. A compareFilter with compareType EQUAL is required for this field when including the sortFields parameter in an API request.

If the request does not contain the required partition field compare filters, an error response will be returned.

You can use the metadata endpoint to identify the partition fields for each dataset, and the partitions endpoint provides the available values for a partiion field.

NOTES:

  1. If a dataset does not have partition fields (e.g. the Registration API datasets) then a compareFilter for the partition field(s) is not required.
  2. Sorting is not supported on historical datasets (.e.g weeklySummaryHistoric).

Resource Endpoints

GET Metadata

Returns the dataset metadata including which fields are available, the data type of the field, and a description. Use this endpoint to discover what fields are available in a dataset.

GET /metadata/group/{group name}/name/{dataset name}

None.

header required description default
Authorization optional

Contains the word Bearer followed by a space and an access_token generated from the FINRA Identity Platform (FIP)

n/a
Data-API-Version optional Used to specify version of the API to use. Version 1

 

 

Request
https://api.finra.org/metadata/group/otcmarket/name/weeklysummary

 

Response
{
    "datasetGroup": "OTCMARKET",
    "datasetName": "WEEKLYSUMMARY",
    "partitionFields": [
        "weekStartDate",
        "tierIdentifier"
    ],
    "fields": [
        {
            "name": "issueSymbolIdentifier",
            "type": "String",
            "description": "Assigned by the NASDAQ listing market and ACT Symbol for Other Exchange Listed (NMS stocks), or by FINRA (OTCE securities). Suffix is separated from root symbol with a special character"
        },
        {
            "name": "issueName",
            "type": "String",
            "description": "Company name associated with the Symbol"
        },
        {
            "name": "firmCRDNumber",
            "type": "Number",
            "description": "Firm CRD Number"
        },
        {
            "name": "MPID",
            "type": "String",
            "description": "ATS/OTC identifier"
        },
        {
            "name": "marketParticipantName",
            "type": "String",
            "description": "Company name of the ATS/OTC or or De Minimis Firm"
        },
        {
            "name": "tierIdentifier",
            "type": "String",
            "description": "T1 - Securities included in the S&P 500, Russell 1000 and selected exchange-traded products; T2 - All other NMS stocks; OTC - Over-the-Counter equity securities"
        },
        {
            "name": "tierDescription",
            "type": "String",
            "description": "NMS Tier 1 - Securities included in the S&P 500, Russell 1000 and selected exchange-traded products; NMS Tier 2 - All other NMS stocks; OTCE - Over-the-Counter equity securities"
        },
        {
            "name": "summaryStartDate",
            "type": "Date",
            "format": "yyyy-MM-dd",
            "description": "Report Start Date (Monday)"
        },
        {
            "name": "totalWeeklyTradeCount",
            "type": "Number",
            "description": "Aggregate weekly total number of trades reported by each ATS for the Symbol"
        },
        {
            "name": "totalWeeklyShareQuantity",
            "type": "Number",
            "description": "Aggregate weekly total number of shares reported by each ATS for the Symbol"
        },
        {
            "name": "productTypeCode",
            "type": "String",
            "description": "Product Type"
        },
        {
            "name": "summaryTypeCode",
            "type": "String",
            "description": "Report Type Identifier ( OTC_ W_FIRM: OTC Weekly Firm, OTC_ W_SMBL: OTC Weekly Symbol, OTC_ W_SMBL_FIRM: OTC Weekly Symbol Firm, OTC_ W_VOL_STATS: OTC Volume Statistics, ATS_ W_Firm: ATS Weekly Firm, ATS_ W_SMBL: ATS Weekly Symbol, ATS_ W_SMBL_FIRM: ATS Weekly Symbol Firm, ATS_ W_VOL_STATS: ATS Volume Statistics)"
        },
        {
            "name": "weekStartDate",
            "type": "Date",
            "format": "yyyy-MM-dd",
            "description": "Partition Key - the first business day of the week (Monday)"
        },
        {
            "name": "lastUpdateDate",
            "type": "Date",
            "format": "yyyy-MM-dd",
            "description": "Most recent date on which total trades is updated based on data received from each ATS/OTC"
        },
        {
            "name": "initialPublishedDate",
            "type": "Date",
            "format": "yyyy-MM-dd",
            "description": "The initial publish date is the first Monday or next business day after the reporting delay based on NMS Tier 1 (two week delay), NMS Tier 2 (four week delay) and OTC securities (four week delay)"
        },
        {
            "name": "lastReportedDate",
            "type": "Date",
            "format": "yyyy-MM-dd",
            "description": "This date represents the last time a firm sent an update to any underlying data that contributes to the aggregate count"
        }
    ]
}

 

 

GET Partitions

Returns unique values and versions of those values for the partition(s) of a dataset.

GET /partitions/group/{group name}/name/{dataset name}

None.

Request
https://api.finra.org/partitions/group/fixedincomemarket/name/treasuryweeklyaggregates

 

Response
{
    "datasetGroup": "fixedincomemarket",
    "datasetName": "treasuryweeklyaggregates",
    "partitionFields": [
        "beginningOfWeekDate"
    ],
    "availablePartitions": [
        {
            "partitions": [
                "2021-02-15"
            ]
        },
        {
            "partitions": [
                "2021-02-08"
            ]
        },
        {
            "partitions": [
                "2021-02-01"
            ]
        },
        {
            "partitions": [
                "2021-01-25"
            ]
        },
        {
            "partitions": [
                "2021-01-18"
            ]
        },
        {
            "partitions": [
                "2021-01-11"
            ]
        },
        {
            "partitions": [
                "2021-01-04"
            ]
        },
        {
            "partitions": [
                "2020-12-28"
            ]
        },
        {
            "partitions": [
                "2020-12-21"
            ]
        }
    ]
}

 

GET Data

Returns data from specified dataset in deliminated (default) or JSON format depending on the value of the ACCEPT header in the request.

GET /data/group/{group name}/name/{dataset name}

parameter description default
fields Comma delimited list of field names to retrieve all fields are returned
limit

Number of records to return. 

NOTE: See the Platform Usage Limits page for more details.

1000
quotevalues Can be used to specify if values should be quoted if the Accept header is text/plain. true
async The API request type. Set to true to specify an asynchronous request. Set to false to specify an synchronous request. false
sortFields Comma delimited list of field names to sort by. You can prepend a + or - before the field name to specify an ascending or descending sort on that field respectively. See the Sorting Restrictions page for more details. no sorting performed

 

header required description default
Authorization required

Contains the word Bearer followed by a space and an access_token generated from the FINRA Identity Platform (FIP)

n/a
Accept optional Can be used to specify a format for the data returned. Supports (application/json, text/plain). If the native data format cannot be converted between JSON/CSV then a status code of 400 will be returned. If an unsupported MIME type is supplied, then  a status code 406 is returned. text/plain
Data-API-Version optional Used to specify version of the API to use. version 1

 

Request
https://api.finra.org/data/group/OTCMarket/name/weeklysummary?limit=10&fields=issueSymbolIdentifier,issueName,weekStartDate,totalWeeklyShareQuantity

 

Response
"issueSymbolIdentifier","issueName","totalWeeklyShareQuantity"
"A","Agilent Technologies","5841"
"A","Agilent Technologies","9700"
"A","Agilent Technologies","92700"
"A","Agilent Technologies","14217"
"A","Agilent Technologies","141400"
"A","Agilent Technologies","69700"
"A","Agilent Technologies","1851131"
"A","Agilent Technologies","181689"
"A","Agilent Technologies","13800"
"A","Agilent Technologies","32711"

 

POST Data

Returns data from specified dataset in delimited (default) or JSON format depending on the value of the ACCEPT header in the request. Advanced selection criteria including filters are available via the request payload. The request payload must be a validly formatted JSON object.

POST /data/group/{group name}/name/{dataset name}

parameterdescriptionexampledefault
fieldsComma delimited list of field names to retrieve."fields" : ["mpid","issuesymbolidentifier" ]all fields are returned
compareFiltersUsed for field value comparisons with standard operators. GREATER, LESSER, EQUALS, GTE, LTE, NOT_EQUAL,BEGINS_WITH."compareFilters": [{
"fieldName" : "ats_mp_id",
"fieldValue" : "ADAM",
"compareType" : "EQUAL"
}]
n/a
dateRangeFiltersUsed for providing a date range for a specific field value. Date format is YYYY-MM-DD or YYYY-MM-DD HH:mm:ss.SSS."dateRangeFilters": [ {
"startDate" : "2017-02-10",
"endDate" : "2017-05-10",
"fieldName" : "trade_time"
} ]
n/a
domainFiltersUsed for specifying a filter based on specific values for a field."domainFilters": [{
"fieldName" : "MarketCenter",
"values" : [ "A", "B", "C", "J" ]
}]
n/a
limit

Number of records to return. 

NOTE: See the Platform Usage Limits page for more details.

"limit" : 50001000
offset

Record number to start with (exclusive). Range of records to be returned is offset record plus limit. If offset is 0 and limit is 20, then records 1 to 20 are returned for a total of 20 records. If offset is 10 and limit is 100, then records 11 to 110 are returned.

IMPORTANT: The offset has a max value of 500,000. See the Platform Usage Limits page for details on using filters in conjunction with the offset parameter to access records beyond a 500,000 offset range.

"offset" : 2000

 

0
quoteValuesCan be used to specify quoted values when Accept header is set to text/plain.

"quoteValues" : false

 

true
delimiterCan be used to specify a character delimiter when Accept header isset to text/plain. Allowed values are pipe (|), comma, tab, or control A.

"delimiter" : "|"

 

comma
asyncThe API request type. Set to true to specify an asynchronous request. Set to false to specify an synchronous request.

"async" : true

 

false
sortFieldsComma delimited list of field names to sort by. You can prepend a + or - before the field name to specify an ascending or descending sort on that field respectively. See the Sorting Restrictions page for more details.

[ "-last_updated"]

 

sorting not performed
headerrequireddescriptiondefault
AuthorizationrequiredContains the word Bearer followed by a space and an access_token generated from the FINRA Identity Platform (FIP)n/a
AcceptoptionalCan be used to specify a format for the data returned. Supports (application/json, text/plain). If the native data format cannot be converted between JSON/CSV then a status code of 400 will be returned. If an unsupported MIME type is supplied, then  a status code 406 is returned.text/plain
Data-API-VersionoptionalUsed to specify version of the API to use.version 1

 

Request
POST https://api.finra.org/data/group/otcmarket/name/weeklysummary

 

Request Payload
{
"fields":["issueSymbolIdentifier", "issueName", "totalWeeklyShareQuantity","totalWeeklyTradeCount","lastUpdateDate"],  
"compareFilters": [ 
{  "compareType": "equal", "fieldName": "tierIdentifier", "fieldValue": "T1" },
{  "compareType": "greater", "fieldName": "summaryStartDate", "fieldValue":"2019-09-01"},
{  "compareType": "equal", "fieldName": "summaryTypeCode", "fieldValue": "OTC_W_SMBL" },
{  "compareType": "equal", "fieldName": "issueSymbolIdentifier", "fieldValue" : "AAPL"}
]
}

 

Response
[

{

"totalWeeklyShareQuantity": 26209776,

"totalWeeklyTradeCount": 123120,

"issueSymbolIdentifier": "AAPL",

"issueName": "Apple Inc. Common Stock",

"lastUpdateDate": "2019-09-23"

},

{

"totalWeeklyShareQuantity": 59995277,

"totalWeeklyTradeCount": 296668,

"issueSymbolIdentifier": "AAPL",

"issueName": "Apple Inc. Common Stock",

"lastUpdateDate": "2019-09-30"

},

{

"totalWeeklyShareQuantity": 59932154,

"totalWeeklyTradeCount": 256271,

"issueSymbolIdentifier": "AAPL",

"issueName": "Apple Inc. Common Stock",

"lastUpdateDate": "2019-10-21"

},

{

"totalWeeklyShareQuantity": 36183038,

"totalWeeklyTradeCount": 157411,

"issueSymbolIdentifier": "AAPL",

"issueName": "Apple Inc. Common Stock",

"lastUpdateDate": "2019-10-17"

},

{

"totalWeeklyShareQuantity": 46913014,

"totalWeeklyTradeCount": 167054,

"issueSymbolIdentifier": "AAPL",

"issueName": "Apple Inc. Common Stock",

"lastUpdateDate": "2019-10-07"

}

]

 

GET Versions

Returns a list of available API versions in descending order.  All API endpoints are versioned under the same value.

GET /versions

None.

header required description default
Authorization optional

Contains the word Bearer followed by a space and an access_token generated from the FINRA Identity Platform (FIP)

n/a
Data-API-Version optional Used to specify version of the API to use. Version 1

 

Request
https://api.finra.org/versions

 

Response
[ {
  "version" : "1",
  "revisions" : "initial version",
  "datePublished" : "2019-10-21"
} ]

 

API Explorer

The FINRA API Explorer provides interactive API documentation that lets you try out API calls directly via the developer.finra.org website. Note that the API calls made via the API Explorer only work against mock or test data. 

It is available for many of the Query API datasets below. Such datasets will have 'API Explorer (Playground)' as an option in their respective sections and a 'TEST IT OUT' button which you can click to go to the dataset's explorer page and try it out. 

Equity

The Equity API datasets provide access to OTC trade and equity data. 

Terms of Service

Access to the Equity datasets are governed by the following specific Terms of Service:

The specific Terms of Service for the Registration datasets are included by reference in the FINRA API Terms of Service.

Blocks Summary

Aggregated ATS trade data in NMS stocks that meets certain share based and dollar based thresholds.

Dataset Info:

group dataset test dataset
otcMarket blocksSummary blocksSummaryMock

 

Sample Request
https://api.finra.org/data/group/otcMarket/name/blocksSummaryMock?limit=5

 

Sample Response
[
    {
        "atsOtc": "ATS",
        "ATSBlockSharePercent": 12.55,
        "lastUpdateDate": "2020-01-06",
        "ATSBlockBusinessSharePercent": 8.08,
        "averageTradeSize": 133,
        "averageBlockSizeRank": 22,
        "ATSBlockCount": 73653,
        "initialPublishedDate": "2020-01-06",
        "summaryStartDate": "2019-11-01",
        "ATSBlockQuantity": 255646555,
        "ATSShareRank": 1,
        "averageBlockSize": 3471,
        "ATSBlockTradeRank": 1,
        "averageTradeSizeRank": 30,
        "ATSTradeRank": 1,
        "ATSBlockBusinessTradePercent": 0.31,
        "MPID": "UBSA",
        "monthStartDate": "2019-11-01",
        "ATSSharePercent": 18.9,
        "ATSBlockShareRank": 1,
        "ATSBlockTradePercent": 13.28,
        "marketParticipantName": "UBS ATS",
        "summaryTypeCode": "2K",
        "ATSTradePercent": 27.05,
        "lastReportedDate": "2019-11-29",
        "ATSBlockBusinessTradeRank": 27,
        "totalShareQuantity": 3165347832,
        "ATSBlockBusinessShareRank": 26,
        "summaryTypeDescription": "2K to <10K",
        "totalTradeCount": 23787089
    },
    {
        "atsOtc": "ATS",
        "ATSBlockSharePercent": 10.41,
        "lastUpdateDate": "2020-01-06",
        "ATSBlockBusinessSharePercent": 20.95,
        "averageTradeSize": 964,
        "averageBlockSizeRank": 7,
        "ATSBlockCount": 46437,
        "initialPublishedDate": "2020-01-06",
        "summaryStartDate": "2019-11-01",
        "ATSBlockQuantity": 212032300,
        "ATSShareRank": 7,
        "averageBlockSize": 4566,
        "ATSBlockTradeRank": 5,
        "averageTradeSizeRank": 10,
        "ATSTradeRank": 18,
        "ATSBlockBusinessTradePercent": 4.42,
        "MPID": "BIDS",
        "monthStartDate": "2019-11-01",
        "ATSSharePercent": 6.05,
        "ATSBlockShareRank": 2,
        "ATSBlockTradePercent": 8.38,
        "marketParticipantName": "BIDS ATS",
        "summaryTypeCode": "2K",
        "ATSTradePercent": 1.19,
        "lastReportedDate": "2019-11-29",
        "ATSBlockBusinessTradeRank": 9,
        "totalShareQuantity": 1012322720,
        "ATSBlockBusinessShareRank": 7,
        "summaryTypeDescription": "2K to <10K",
        "totalTradeCount": 1049737
    },
    {
        "atsOtc": "ATS",
        "ATSBlockSharePercent": 9.16,
        "lastUpdateDate": "2020-01-06",
        "ATSBlockBusinessSharePercent": 12.21,
        "averageTradeSize": 172,
        "averageBlockSizeRank": 20,
        "ATSBlockCount": 53337,
        "initialPublishedDate": "2020-01-06",
        "summaryStartDate": "2019-11-01",
        "ATSBlockQuantity": 186496493,
        "ATSShareRank": 2,
        "averageBlockSize": 3497,
        "ATSBlockTradeRank": 2,
        "averageTradeSizeRank": 26,
        "ATSTradeRank": 3,
        "ATSBlockBusinessTradePercent": 0.6,
        "MPID": "CROS",
        "monthStartDate": "2019-11-01",
        "ATSSharePercent": 9.12,
        "ATSBlockShareRank": 3,
        "ATSBlockTradePercent": 9.62,
        "marketParticipantName": "CROSSFINDER",
        "summaryTypeCode": "2K",
        "ATSTradePercent": 10.07,
        "lastReportedDate": "2019-12-02",
        "ATSBlockBusinessTradeRank": 24,
        "totalShareQuantity": 1527483198,
        "ATSBlockBusinessShareRank": 18,
        "summaryTypeDescription": "2K to <10K",
        "totalTradeCount": 8857884
    },
    {
        "atsOtc": "ATS",
        "ATSBlockSharePercent": 8.6,
        "lastUpdateDate": "2020-01-06",
        "ATSBlockBusinessSharePercent": 13.16,
        "averageTradeSize": 210,
        "averageBlockSizeRank": 23,
        "ATSBlockCount": 51462,
        "initialPublishedDate": "2020-01-06",
        "summaryStartDate": "2019-11-01",
        "ATSBlockQuantity": 175131200,
        "ATSShareRank": 3,
        "averageBlockSize": 3403,
        "ATSBlockTradeRank": 3,
        "averageTradeSizeRank": 18,
        "ATSTradeRank": 5,
        "ATSBlockBusinessTradePercent": 0.81,
        "MPID": "MSPL",
        "monthStartDate": "2019-11-01",
        "ATSSharePercent": 7.95,
        "ATSBlockShareRank": 4,
        "ATSBlockTradePercent": 9.28,
        "marketParticipantName": "MS POOL (ATS-4)",
        "summaryTypeCode": "2K",
        "ATSTradePercent": 7.21,
        "lastReportedDate": "2019-11-29",
        "ATSBlockBusinessTradeRank": 18,
        "totalShareQuantity": 1331038011,
        "ATSBlockBusinessShareRank": 17,
        "summaryTypeDescription": "2K to <10K",
        "totalTradeCount": 6337247
    },
    {
        "atsOtc": "ATS",
        "ATSBlockSharePercent": 8.33,
        "lastUpdateDate": "2020-01-06",
        "ATSBlockBusinessSharePercent": 13.53,
        "averageTradeSize": 172,
        "averageBlockSizeRank": 18,
        "ATSBlockCount": 48314,
        "initialPublishedDate": "2020-01-06",
        "summaryStartDate": "2019-11-01",
        "ATSBlockQuantity": 169548640,
        "ATSShareRank": 5,
        "averageBlockSize": 3509,
        "ATSBlockTradeRank": 4,
        "averageTradeSizeRank": 26,
        "ATSTradeRank": 4,
        "ATSBlockBusinessTradePercent": 0.66,
        "MPID": "JPMX",
        "monthStartDate": "2019-11-01",
        "ATSSharePercent": 7.48,
        "ATSBlockShareRank": 5,
        "ATSBlockTradePercent": 8.71,
        "marketParticipantName": "JPM-X",
        "summaryTypeCode": "2K",
        "ATSTradePercent": 8.29,
        "lastReportedDate": "2019-11-29",
        "ATSBlockBusinessTradeRank": 20,
        "totalShareQuantity": 1252865110,
        "ATSBlockBusinessShareRank": 16,
        "summaryTypeDescription": "2K to <10K",
        "totalTradeCount": 7291405
    }
]

 

Sample Request
https://api.finra.org/data/group/otcMarket/name/blocksSummaryMock

 

Sample Request Payload
{
"limit":5,
"fields":["MPID","marketParticipantName","summaryStartDate","totalTradeCount","totalShareQuantity"],  
"compareFilters": [ 
{"compareType": "greater", "fieldName": "summaryStartDate", "fieldValue": "2019-11-01" }
]
}

 

Sample Response
[
    {
        "totalShareQuantity": 2872284803,
        "MPID": "UBSA",
        "totalTradeCount": 22078770,
        "summaryStartDate": "2019-12-01",
        "marketParticipantName": "UBS ATS"
    },
    {
        "totalShareQuantity": 863401533,
        "MPID": "BIDS",
        "totalTradeCount": 909301,
        "summaryStartDate": "2019-12-01",
        "marketParticipantName": "BIDS ATS"
    },
    {
        "totalShareQuantity": 1109037768,
        "MPID": "JPMX",
        "totalTradeCount": 6911113,
        "summaryStartDate": "2019-12-01",
        "marketParticipantName": "JPM-X"
    },
    {
        "totalShareQuantity": 1550565641,
        "MPID": "CROS",
        "totalTradeCount": 9020187,
        "summaryStartDate": "2019-12-01",
        "marketParticipantName": "CROSSFINDER"
    },
    {
        "totalShareQuantity": 1141992930,
        "MPID": "MSPL",
        "totalTradeCount": 5589283,
        "summaryStartDate": "2019-12-01",
        "marketParticipantName": "MS POOL (ATS-4)"
    }
]

 

Consolidated Short Interest

The Consolidated Short Interest data provides a single view of OTC short interest positions submissions across all exchanges. 

Dataset Info:

group dataset test dataset
otcMarket consolidatedShortInterest consolidatedShortInterestMock

 

Sample Request
https://api.finra.org/data/group/otcmarket/name/consolidatedShortInterestMock?limit=5

 

Sample Response
[
    {
        "stockSplitFlag": null,
        "previousShortPositionQuantity": 50584440,
        "averageDailyVolumeQuantity": 1279692,
        "issueName": "Bombardier Inc. Class B Shares",
        "currentShortPositionQuantity": 52552196,
        "changePreviousNumber": 1967756,
        "accountingYearMonthNumber": 20200415,
        "settlementDate": "2020-04-15",
        "marketClassCode": "OTC",
        "symbolCode": "BDRBF",
        "daysToCoverQuantity": 41.07,
        "issuerServicesGroupExchangeCode": "S",
        "revisionFlag": null,
        "changePercent": 3.89
    },
    {
        "stockSplitFlag": null,
        "previousShortPositionQuantity": 339755063,
        "averageDailyVolumeQuantity": 4092,
        "issueName": "GCL Poly Energy Holdings Ltd O",
        "currentShortPositionQuantity": 402680063,
        "changePreviousNumber": 62925000,
        "accountingYearMonthNumber": 20200415,
        "settlementDate": "2020-04-15",
        "marketClassCode": "OTC",
        "symbolCode": "GCPEF",
        "daysToCoverQuantity": 999.99,
        "issuerServicesGroupExchangeCode": "S",
        "revisionFlag": null,
        "changePercent": 18.52
    },
    {
        "stockSplitFlag": null,
        "previousShortPositionQuantity": 3,
        "averageDailyVolumeQuantity": 8973314,
        "issueName": "Healthier Choices Management C",
        "currentShortPositionQuantity": 3,
        "changePreviousNumber": 0,
        "accountingYearMonthNumber": 20200415,
        "settlementDate": "2020-04-15",
        "marketClassCode": "OTC",
        "symbolCode": "HCMC",
        "daysToCoverQuantity": 1,
        "issuerServicesGroupExchangeCode": "S",
        "revisionFlag": null,
        "changePercent": 0
    },
    {
        "stockSplitFlag": null,
        "previousShortPositionQuantity": 62437967,
        "averageDailyVolumeQuantity": 1904182,
        "issueName": "Bombardier Inc. Class B Shares",
        "currentShortPositionQuantity": 50584440,
        "changePreviousNumber": -11853527,
        "accountingYearMonthNumber": 20200331,
        "settlementDate": "2020-03-31",
        "marketClassCode": "OTC",
        "symbolCode": "BDRBF",
        "daysToCoverQuantity": 26.56,
        "issuerServicesGroupExchangeCode": "S",
        "revisionFlag": null,
        "changePercent": -18.98
    },
    {
        "stockSplitFlag": null,
        "previousShortPositionQuantity": 198015562,
        "averageDailyVolumeQuantity": 695,
        "issueName": "GCL Poly Energy Holdings Ltd O",
        "currentShortPositionQuantity": 339755063,
        "changePreviousNumber": 141739501,
        "accountingYearMonthNumber": 20200331,
        "settlementDate": "2020-03-31",
        "marketClassCode": "OTC",
        "symbolCode": "GCPEF",
        "daysToCoverQuantity": 999.99,
        "issuerServicesGroupExchangeCode": "S",
        "revisionFlag": null,
        "changePercent": 71.58
    }
]

 

Sample Request
https://api.finra.org/data/group/otcmarket/name/consolidatedShortInterestMock

 

Sample Request Payload
{  
"limit":5,
"compareFilters": [ 
{"compareType": "lesser", "fieldName": "averageDailyVolumeQuantity", "fieldValue": "5000" }
]
}

 

Sample Response
[
    {
        "stockSplitFlag": null,
        "previousShortPositionQuantity": 339755063,
        "averageDailyVolumeQuantity": 4092,
        "issueName": "GCL Poly Energy Holdings Ltd O",
        "currentShortPositionQuantity": 402680063,
        "changePreviousNumber": 62925000,
        "accountingYearMonthNumber": 20200415,
        "settlementDate": "2020-04-15",
        "marketClassCode": "OTC",
        "symbolCode": "GCPEF",
        "daysToCoverQuantity": 999.99,
        "issuerServicesGroupExchangeCode": "S",
        "revisionFlag": null,
        "changePercent": 18.52
    },
    {
        "stockSplitFlag": null,
        "previousShortPositionQuantity": 198015562,
        "averageDailyVolumeQuantity": 695,
        "issueName": "GCL Poly Energy Holdings Ltd O",
        "currentShortPositionQuantity": 339755063,
        "changePreviousNumber": 141739501,
        "accountingYearMonthNumber": 20200331,
        "settlementDate": "2020-03-31",
        "marketClassCode": "OTC",
        "symbolCode": "GCPEF",
        "daysToCoverQuantity": 999.99,
        "issuerServicesGroupExchangeCode": "S",
        "revisionFlag": null,
        "changePercent": 71.58
    },
    {
        "stockSplitFlag": null,
        "previousShortPositionQuantity": 260908415,
        "averageDailyVolumeQuantity": 2400,
        "issueName": "GCL Poly Energy Holdings Ltd O",
        "currentShortPositionQuantity": 198015562,
        "changePreviousNumber": -62892853,
        "accountingYearMonthNumber": 20200313,
        "settlementDate": "2020-03-13",
        "marketClassCode": "OTC",
        "symbolCode": "GCPEF",
        "daysToCoverQuantity": 999.99,
        "issuerServicesGroupExchangeCode": "S",
        "revisionFlag": null,
        "changePercent": -24.11
    },
    {
        "stockSplitFlag": null,
        "previousShortPositionQuantity": 252551355,
        "averageDailyVolumeQuantity": 522,
        "issueName": "GCL Poly Energy Holdings Ltd O",
        "currentShortPositionQuantity": 260908415,
        "changePreviousNumber": 8357060,
        "accountingYearMonthNumber": 20200228,
        "settlementDate": "2020-02-28",
        "marketClassCode": "OTC",
        "symbolCode": "GCPEF",
        "daysToCoverQuantity": 999.99,
        "issuerServicesGroupExchangeCode": "S",
        "revisionFlag": null,
        "changePercent": 3.31
    },
    {
        "stockSplitFlag": null,
        "previousShortPositionQuantity": 232973034,
        "averageDailyVolumeQuantity": 1120,
        "issueName": "GCL Poly Energy Holdings Ltd O",
        "currentShortPositionQuantity": 252551355,
        "changePreviousNumber": 19578321,
        "accountingYearMonthNumber": 20200214,
        "settlementDate": "2020-02-14",
        "marketClassCode": "OTC",
        "symbolCode": "GCPEF",
        "daysToCoverQuantity": 999.99,
        "issuerServicesGroupExchangeCode": "S",
        "revisionFlag": null,
        "changePercent": 8.4
    }
]

 

Monthly Summary

Monthly aggregate trade data for OTC (non-ATS) trading data for each firm with trade reporting obligations under FINRA rules.

Dataset Info:

group dataset test dataset
otcMarket monthlySummary monthlySummaryMock

 

Sample Request
https://api.finra.org/data/group/otcMarket/name/monthlySummaryMock?limit=5

 

Sample Response
[
    {
        "issueSymbolIdentifier": null,
        "issueName": null,
        "lastUpdateDate": "2020-01-06",
        "lastReportedDate": "2019-11-29",
        "initialPublishedDate": "2020-01-06",
        "tierIdentifier": "OTCE",
        "summaryStartDate": "2019-11-01",
        "monthStartDate": "2019-11-01",
        "totalMonthlyTradeCount": 6543,
        "firmCRDNumber": 281867,
        "productTypeCode": null,
        "marketParticipantName": "OLD MISSION MARKETS LLC",
        "totalMonthlyShareQuantity": 100117725,
        "summaryTypeCode": "OTC_M_FIRM"
    },
    {
        "issueSymbolIdentifier": "AAVMY",
        "issueName": "Abn Amro BK N V Amsterdam Brh American Depositary Receipts - Unsponsored (Netherlands)",
        "lastUpdateDate": "2020-01-06",
        "lastReportedDate": "2019-11-29",
        "initialPublishedDate": "2020-01-06",
        "tierIdentifier": "OTCE",
        "summaryStartDate": "2019-11-01",
        "monthStartDate": "2019-11-01",
        "totalMonthlyTradeCount": 1720,
        "firmCRDNumber": 0,
        "productTypeCode": null,
        "marketParticipantName": "De Minimis Firms",
        "totalMonthlyShareQuantity": 3684028,
        "summaryTypeCode": "OTC_M_SMBL_FIRM"
    },
    {
        "issueSymbolIdentifier": "ACAN",
        "issueName": "Americann, Inc. Common Stock",
        "lastUpdateDate": "2020-01-06",
        "lastReportedDate": "2019-11-29",
        "initialPublishedDate": "2020-01-06",
        "tierIdentifier": "OTCE",
        "summaryStartDate": "2019-11-01",
        "monthStartDate": "2019-11-01",
        "totalMonthlyTradeCount": 645,
        "firmCRDNumber": 0,
        "productTypeCode": null,
        "marketParticipantName": "De Minimis Firms",
        "totalMonthlyShareQuantity": 449681,
        "summaryTypeCode": "OTC_M_SMBL_FIRM"
    },
    {
        "issueSymbolIdentifier": "ACNDF",
        "issueName": "Ascendas India Trust Units (Singapore)",
        "lastUpdateDate": "2020-01-06",
        "lastReportedDate": "2019-11-21",
        "initialPublishedDate": "2020-01-06",
        "tierIdentifier": "OTCE",
        "summaryStartDate": "2019-11-01",
        "monthStartDate": "2019-11-01",
        "totalMonthlyTradeCount": 9,
        "firmCRDNumber": 0,
        "productTypeCode": null,
        "marketParticipantName": "De Minimis Firms",
        "totalMonthlyShareQuantity": 35000,
        "summaryTypeCode": "OTC_M_SMBL_FIRM"
    },
    {
        "issueSymbolIdentifier": "ALGWF",
        "issueName": "Alliance Growers Corp Ordinary Shares (Canada)",
        "lastUpdateDate": "2020-01-06",
        "lastReportedDate": "2019-11-29",
        "initialPublishedDate": "2020-01-06",
        "tierIdentifier": "OTCE",
        "summaryStartDate": "2019-11-01",
        "monthStartDate": "2019-11-01",
        "totalMonthlyTradeCount": 45,
        "firmCRDNumber": 0,
        "productTypeCode": null,
        "marketParticipantName": "De Minimis Firms",
        "totalMonthlyShareQuantity": 189960,
        "summaryTypeCode": "OTC_M_SMBL_FIRM"
    }
]

 

Sample Request
https://api.finra.org/data/group/otcMarket/name/monthlySummaryMock

 

Sample Request Payload
{
"limit":5,
"fields":["issueSymbolIdentifier","issueName","firmCRDNumber","marketParticipantName","tierIdentifier"],  
"compareFilters": [ 
{"compareType": "greater", "fieldName": "totalMonthlyTradeCount", "fieldValue": 5000 }
]
}
 

 

Sample Response
[
    {
        "issueSymbolIdentifier": null,
        "issueName": null,
        "firmCRDNumber": 281867,
        "tierIdentifier": "OTCE",
        "marketParticipantName": "OLD MISSION MARKETS LLC"
    },
    {
        "issueSymbolIdentifier": "GRWG",
        "issueName": "Growgeneration Corp Common Stock",
        "firmCRDNumber": 0,
        "tierIdentifier": "OTCE",
        "marketParticipantName": "De Minimis Firms"
    },
    {
        "issueSymbolIdentifier": null,
        "issueName": null,
        "firmCRDNumber": 139515,
        "tierIdentifier": "OTCE",
        "marketParticipantName": "MCAP LLC"
    },
    {
        "issueSymbolIdentifier": "RHHBY",
        "issueName": "Roche Holdings AG Basel American Depositary Shares",
        "firmCRDNumber": null,
        "tierIdentifier": "OTCE",
        "marketParticipantName": null
    },
    {
        "issueSymbolIdentifier": "SPRWF",
        "issueName": "The Supreme Cannabis Co Inc. Ordinary Shares",
        "firmCRDNumber": null,
        "tierIdentifier": "OTCE",
        "marketParticipantName": null
    }
]

 

OTC Block Summary

Aggregated OTC (Non-ATS) trade data in NMS stocks that meets certain share based and dollar based thresholds.

Dataset Info:

group dataset test dataset
otcMarket otcBlocksSummary otcBlocksSummaryMock

 

Sample Request
https://api.finra.org/data/group/otcMarket/name/otcBlocksSummaryMock?limit=5

 

Sample Response
[
    {
        "OTCBlockTradePercent": 0,
        "atsOtc": "OTC",
        "OTCBlockShareRank": 77,
        "lastUpdateDate": "2020-01-06",
        "averageTradeSize": 1155000,
        "averageBlockSizeRank": 1,
        "initialPublishedDate": "2020-01-06",
        "summaryStartDate": "2019-11-01",
        "crdFirmName": "H.C.WAINWRIGHT & CO., LLC",
        "OTCTradePercent": 0,
        "averageBlockSize": 1155000,
        "averageTradeSizeRank": 1,
        "monthStartDate": "2019-11-01",
        "OTCBlockSharePercent": 0.04,
        "summaryTypeCode": "10K",
        "OTCBlockTradeRank": 140,
        "lastReportedDate": "2019-11-19",
        "OTCSharePercent": 0.02,
        "OTCBlockCount": 5,
        "OTCBlockBusinessShareRank": 1,
        "OTCBlockQuantity": 5775000,
        "OTCTradeRank": 169,
        "totalShareQuantity": 5775000,
        "OTCShareRank": 86,
        "OTCBlockBusinessSharePercent": 100,
        "summaryTypeDescription": "10K+ Shares",
        "OTCBlockBusinessTradeRank": 1,
        "totalTradeCount": 5,
        "OTCBlockBusinessTradePercent": 100
    },
    {
        "OTCBlockTradePercent": 0,
        "atsOtc": "OTC",
        "OTCBlockShareRank": 87,
        "lastUpdateDate": "2020-01-06",
        "averageTradeSize": 687500,
        "averageBlockSizeRank": 3,
        "initialPublishedDate": "2020-01-06",
        "summaryStartDate": "2019-11-01",
        "crdFirmName": "TRADITION SECURITIES AND DERIVATIVES INC.",
        "OTCTradePercent": 0,
        "averageBlockSize": 687500,
        "averageTradeSizeRank": 2,
        "monthStartDate": "2019-11-01",
        "OTCBlockSharePercent": 0.03,
        "summaryTypeCode": "10K",
        "OTCBlockTradeRank": 134,
        "lastReportedDate": "2019-12-02",
        "OTCSharePercent": 0.01,
        "OTCBlockCount": 6,
        "OTCBlockBusinessShareRank": 1,
        "OTCBlockQuantity": 4125000,
        "OTCTradeRank": 162,
        "totalShareQuantity": 4125000,
        "OTCShareRank": 94,
        "OTCBlockBusinessSharePercent": 100,
        "summaryTypeDescription": "10K+ Shares",
        "OTCBlockBusinessTradeRank": 1,
        "totalTradeCount": 6,
        "OTCBlockBusinessTradePercent": 100
    },
    {
        "OTCBlockTradePercent": 0,
        "atsOtc": "OTC",
        "OTCBlockShareRank": 97,
        "lastUpdateDate": "2020-01-06",
        "averageTradeSize": 562400,
        "averageBlockSizeRank": 5,
        "initialPublishedDate": "2020-01-06",
        "summaryStartDate": "2019-11-01",
        "crdFirmName": "EARLYBIRDCAPITAL, INC.",
        "OTCTradePercent": 0,
        "averageBlockSize": 562400,
        "averageTradeSizeRank": 3,
        "monthStartDate": "2019-11-01",
        "OTCBlockSharePercent": 0.02,
        "summaryTypeCode": "10K",
        "OTCBlockTradeRank": 143,
        "lastReportedDate": "2019-11-25",
        "OTCSharePercent": 0.01,
        "OTCBlockCount": 4,
        "OTCBlockBusinessShareRank": 1,
        "OTCBlockQuantity": 2249600,
        "OTCTradeRank": 174,
        "totalShareQuantity": 2249600,
        "OTCShareRank": 104,
        "OTCBlockBusinessSharePercent": 100,
        "summaryTypeDescription": "10K+ Shares",
        "OTCBlockBusinessTradeRank": 1,
        "totalTradeCount": 4,
        "OTCBlockBusinessTradePercent": 100
    },
    {
        "OTCBlockTradePercent": 0,
        "atsOtc": "OTC",
        "OTCBlockShareRank": 134,
        "lastUpdateDate": "2020-01-06",
        "averageTradeSize": 381640,
        "averageBlockSizeRank": 7,
        "initialPublishedDate": "2020-01-06",
        "summaryStartDate": "2019-11-01",
        "crdFirmName": "TD AMERITRADE CLEARING, INC.",
        "OTCTradePercent": 0,
        "averageBlockSize": 381640,
        "averageTradeSizeRank": 5,
        "monthStartDate": "2019-11-01",
        "OTCBlockSharePercent": 0,
        "summaryTypeCode": "10K",
        "OTCBlockTradeRank": 168,
        "lastReportedDate": "2019-11-18",
        "OTCSharePercent": 0,
        "OTCBlockCount": 1,
        "OTCBlockBusinessShareRank": 1,
        "OTCBlockQuantity": 381640,
        "OTCTradeRank": 198,
        "totalShareQuantity": 381640,
        "OTCShareRank": 143,
        "OTCBlockBusinessSharePercent": 100,
        "summaryTypeDescription": "10K+ Shares",
        "OTCBlockBusinessTradeRank": 1,
        "totalTradeCount": 1,
        "OTCBlockBusinessTradePercent": 100
    },
    {
        "OTCBlockTradePercent": 0,
        "atsOtc": "OTC",
        "OTCBlockShareRank": 99,
        "lastUpdateDate": "2020-01-06",
        "averageTradeSize": 352144,
        "averageBlockSizeRank": 8,
        "initialPublishedDate": "2020-01-06",
        "summaryStartDate": "2019-11-01",
        "crdFirmName": "CIBC WORLD MARKETS CORP.",
        "OTCTradePercent": 0,
        "averageBlockSize": 352144,
        "averageTradeSizeRank": 6,
        "monthStartDate": "2019-11-01",
        "OTCBlockSharePercent": 0.01,
        "summaryTypeCode": "10K",
        "OTCBlockTradeRank": 134,
        "lastReportedDate": "2019-11-26",
        "OTCSharePercent": 0.01,
        "OTCBlockCount": 6,
        "OTCBlockBusinessShareRank": 1,
        "OTCBlockQuantity": 2112863,
        "OTCTradeRank": 162,
        "totalShareQuantity": 2112863,
        "OTCShareRank": 105,
        "OTCBlockBusinessSharePercent": 100,
        "summaryTypeDescription": "10K+ Shares",
        "OTCBlockBusinessTradeRank": 1,
        "totalTradeCount": 6,
        "OTCBlockBusinessTradePercent": 100
    }
]

 

Sample Request
https://api.finra.org/data/group/otcMarket/name/otcBlocksSummaryMock

 

Sample Request Payload
{
"limit":5,
"fields":["crdFirmName","summaryStartDate","totalTradeCount","totalShareQuantity","averageTradeSize"],  
"compareFilters": [ 
{"compareType": "greater", "fieldName": "totalTradeCount", "fieldValue": 5 }
]
}
 

 

Sample Response
[
    {
        "crdFirmName": "TRADITION SECURITIES AND DERIVATIVES INC.",
        "totalShareQuantity": 4125000,
        "averageTradeSize": 687500,
        "totalTradeCount": 6,
        "summaryStartDate": "2019-11-01"
    },
    {
        "crdFirmName": "CIBC WORLD MARKETS CORP.",
        "totalShareQuantity": 2112863,
        "averageTradeSize": 352144,
        "totalTradeCount": 6,
        "summaryStartDate": "2019-11-01"
    },
    {
        "crdFirmName": "FBN SECURITIES, INC.",
        "totalShareQuantity": 3748198,
        "averageTradeSize": 187410,
        "totalTradeCount": 20,
        "summaryStartDate": "2019-11-01"
    },
    {
        "crdFirmName": "ITAU BBA USA SECURITIES, INC.",
        "totalShareQuantity": 533632,
        "averageTradeSize": 88939,
        "totalTradeCount": 6,
        "summaryStartDate": "2019-11-01"
    },
    {
        "crdFirmName": "AEGIS CAPITAL CORP.",
        "totalShareQuantity": 301320,
        "averageTradeSize": 50220,
        "totalTradeCount": 6,
        "summaryStartDate": "2019-11-01"
    }
]

 

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.

Dataset Info:

group dataset test dataset
otcMarket regShoDaily regShoDailyMock

 

Sample Request
https://api.finra.org/data/group/otcMarket/name/regShoDailyMock?limit=5

 

Sample Response
[
    {
        "reportingFacilityCode": "NQTRF",
        "totalParQuantity": 134248,
        "shortParQuantity": 41895,
        "marketCode": "Q",
        "tradeReportDate": "2021-05-03",
        "securitiesInformationProcessorSymbolIdentifier": "A",
        "shortExemptParQuantity": 1014
    },
    {
        "reportingFacilityCode": "NYTRF",
        "totalParQuantity": 15639,
        "shortParQuantity": 4234,
        "marketCode": "N",
        "tradeReportDate": "2021-05-03",
        "securitiesInformationProcessorSymbolIdentifier": "A",
        "shortExemptParQuantity": 0
    },
    {
        "reportingFacilityCode": "NCTRF",
        "totalParQuantity": 9046,
        "shortParQuantity": 5147,
        "marketCode": "B",
        "tradeReportDate": "2021-05-03",
        "securitiesInformationProcessorSymbolIdentifier": "AA",
        "shortExemptParQuantity": 0
    },
    {
        "reportingFacilityCode": "NQTRF",
        "totalParQuantity": 1376022,
        "shortParQuantity": 786567,
        "marketCode": "Q",
        "tradeReportDate": "2021-05-03",
        "securitiesInformationProcessorSymbolIdentifier": "AA",
        "shortExemptParQuantity": 1885
    },
    {
        "reportingFacilityCode": "NYTRF",
        "totalParQuantity": 411504,
        "shortParQuantity": 214497,
        "marketCode": "N",
        "tradeReportDate": "2021-05-03",
        "securitiesInformationProcessorSymbolIdentifier": "AA",
        "shortExemptParQuantity": 0
    }
]

 

Sample Request
https://api.finra.org/data/group/otcMarket/name/regShoDailyMock

 

Sample Request Payload
{
"limit":5,
"fields":["tradeReportDate","securitiesInformationProcessorSymbolIdentifier","shortParQuantity","shortExemptParQuantity","totalParQuantity"],  
"compareFilters": [ 
{"compareType": "equal", "fieldName": "marketCode", "fieldValue": "Q" }
]
}
 

 

Sample Response
[
    {
        "totalParQuantity": 134248,
        "shortParQuantity": 41895,
        "tradeReportDate": "2021-05-03",
        "securitiesInformationProcessorSymbolIdentifier": "A",
        "shortExemptParQuantity": 1014
    },
    {
        "totalParQuantity": 1376022,
        "shortParQuantity": 786567,
        "tradeReportDate": "2021-05-03",
        "securitiesInformationProcessorSymbolIdentifier": "AA",
        "shortExemptParQuantity": 1885
    },
    {
        "totalParQuantity": 1,
        "shortParQuantity": 1,
        "tradeReportDate": "2021-05-03",
        "securitiesInformationProcessorSymbolIdentifier": "AAA",
        "shortExemptParQuantity": 0
    },
    {
        "totalParQuantity": 33511,
        "shortParQuantity": 11369,
        "tradeReportDate": "2021-05-03",
        "securitiesInformationProcessorSymbolIdentifier": "AAAU",
        "shortExemptParQuantity": 0
    },
    {
        "totalParQuantity": 2119435,
        "shortParQuantity": 473687,
        "tradeReportDate": "2021-05-03",
        "securitiesInformationProcessorSymbolIdentifier": "AAC",
        "shortExemptParQuantity": 0
    }
]

 

Threshold List

OTC Regulation SHO and Rule 4320 Threshold Securities.

Dataset Info:

group dataset test dataset
otcMarket thresholdList thresholdListMock

 

Sample Request
https://api.finra.org/data/group/otcMarket/name/thresholdListMock?limit=5

 

Sample Response
[
    {
        "regShoThresholdFlag": "N",
        "issueSymbolIdentifier": "AACAY",
        "issueName": "AAC Technologies Holdings Inc Unsponsored ADR (Cayman Islands)",
        "thresholdListFlag": "NR",
        "marketCategoryDescription": "Other OTC",
        "rule4320Flag": "Y",
        "tradeDate": "2019-01-14",
        "marketClassCode": "OTC"
    },
    {
        "regShoThresholdFlag": "N",
        "issueSymbolIdentifier": "AHKSY",
        "issueName": "Asahi Kaisai Corporation American Depositary Shares",
        "thresholdListFlag": "NR",
        "marketCategoryDescription": "Other OTC",
        "rule4320Flag": "Y",
        "tradeDate": "2019-01-14",
        "marketClassCode": "OTC"
    },
    {
        "regShoThresholdFlag": "N",
        "issueSymbolIdentifier": "ASGLY",
        "issueName": "AGC Inc. American Depositary Receipts - Unsponsored",
        "thresholdListFlag": "NR",
        "marketCategoryDescription": "Other OTC",
        "rule4320Flag": "Y",
        "tradeDate": "2019-01-14",
        "marketClassCode": "OTC"
    },
    {
        "regShoThresholdFlag": "N",
        "issueSymbolIdentifier": "BKRIY",
        "issueName": "Bank Ireland Group PLC American Depositary Receipts - Unsponsored (Ireland)",
        "thresholdListFlag": "NR",
        "marketCategoryDescription": "Other OTC",
        "rule4320Flag": "Y",
        "tradeDate": "2019-01-14",
        "marketClassCode": "OTC"
    },
    {
        "regShoThresholdFlag": "N",
        "issueSymbolIdentifier": "BNTGY",
        "issueName": "Brenntag AG, Muehleim/Ruhr Unsponsored American Depository Receipt (Germany)",
        "thresholdListFlag": "NR",
        "marketCategoryDescription": "Other OTC",
        "rule4320Flag": "Y",
        "tradeDate": "2019-01-14",
        "marketClassCode": "OTC"
    }
]

 

Sample Request
https://api.finra.org/data/group/otcMarket/name/thresholdListMock

 

Sample Request Payload
{
"limit":5,
"fields":["tradeDate","issueSymbolIdentifier","issueName","marketClassCode","thresholdListFlag","regShoThresholdFlag"],  
"compareFilters": [ 
{"compareType": "equal", "fieldName": "regShoThresholdFlag", "fieldValue": "Y" }
]
}
 

 

Sample Response
[
    {
        "regShoThresholdFlag": "Y",
        "issueSymbolIdentifier": "RYSMF",
        "issueName": "Royal Standard Minerals Inc Ordinary Shares",
        "thresholdListFlag": "R",
        "tradeDate": "2019-01-14",
        "marketClassCode": "OTC"
    },
    {
        "regShoThresholdFlag": "Y",
        "issueSymbolIdentifier": "RYSMF",
        "issueName": "Royal Standard Minerals Inc Ordinary Shares",
        "thresholdListFlag": "R",
        "tradeDate": "2019-01-11",
        "marketClassCode": "OTC"
    },
    {
        "regShoThresholdFlag": "Y",
        "issueSymbolIdentifier": "RYSMF",
        "issueName": "Royal Standard Minerals Inc Ordinary Shares",
        "thresholdListFlag": "R",
        "tradeDate": "2019-01-10",
        "marketClassCode": "OTC"
    },
    {
        "regShoThresholdFlag": "Y",
        "issueSymbolIdentifier": "RYSMF",
        "issueName": "Royal Standard Minerals Inc Ordinary Shares",
        "thresholdListFlag": "R",
        "tradeDate": "2019-01-09",
        "marketClassCode": "OTC"
    },
    {
        "regShoThresholdFlag": "Y",
        "issueSymbolIdentifier": "RYSMF",
        "issueName": "Royal Standard Minerals Inc Ordinary Shares",
        "thresholdListFlag": "R",
        "tradeDate": "2019-01-08",
        "marketClassCode": "OTC"
    }
]

 

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.

Dataset Info:

group dataset test dataset historical dataset
otcMarket weeklySummary weeklySummaryMock weeklySummaryHistoric

 

  1. weeklySummary: The weeklySummary production dataset contains a rolling twelve months of data.
  2. weeklySummaryHistoric: The weeklySummary historic dataset provides a rolling 4 years of data starting with one year prior to the current date.
    •  One (and only one) of the following fields must be used to query the dataset:
      • weekStartDate - a date field in yyyy-MM-dd format that must be a Monday. If a date other than a Monday is provided no data will be returned.
      • historicalWeek - a date field in yyyy-MM-dd format. If a date other than a Monday is provided the platform will calculate the corresponding weekStartDate for the provided date.
      • historicalMonth - a date field in yyyy-MMM format. The platform will provide all data with a weekStartDate within the month provided.
    • The tierIdentifier field can also be used to filter the data.
    • No other fields can be used to filter the data.
    • Sorting is not supported.
    • Data older than one year is static and is not updated. Do not repeatedly download older data looking for updates.
    • Async API request type should be used for weeklySummaryHistoric data if timeout errors occur when retrieving large volumes of data.
Sample Request
https://api.finra.org/data/group/otcMarket/name/weeklysummaryMock?limit=5

 

Sample Response
[
    {
        "totalWeeklyShareQuantity": 186876,
        "issueSymbolIdentifier": "EIDO",
        "issueName": "iShares MSCI Indonesia ETF",
        "lastUpdateDate": "2019-12-16",
        "lastReportedDate": "2019-11-29",
        "tierDescription": "NMS Tier 1",
        "initialPublishedDate": "2019-12-16",
        "tierIdentifier": "T1",
        "summaryStartDate": "2019-11-25",
        "totalWeeklyTradeCount": 1394,
        "weekStartDate": "2019-11-25",
        "MPID": null,
        "firmCRDNumber": null,
        "productTypeCode": "CTS",
        "marketParticipantName": null,
        "summaryTypeCode": "ATS_W_SMBL"
    },
    {
        "totalWeeklyShareQuantity": 117725,
        "issueSymbolIdentifier": "BKU",
        "issueName": "Bankunited, Inc.",
        "lastUpdateDate": "2019-12-16",
        "lastReportedDate": "2019-11-29",
        "tierDescription": "NMS Tier 1",
        "initialPublishedDate": "2019-12-16",
        "tierIdentifier": "T1",
        "summaryStartDate": "2019-11-25",
        "totalWeeklyTradeCount": 1103,
        "weekStartDate": "2019-11-25",
        "MPID": null,
        "firmCRDNumber": null,
        "productTypeCode": "CTS",
        "marketParticipantName": null,
        "summaryTypeCode": "ATS_W_SMBL"
    },
    {
        "totalWeeklyShareQuantity": 3084305,
        "issueSymbolIdentifier": "MO",
        "issueName": "Altria Group, Inc.",
        "lastUpdateDate": "2019-12-16",
        "lastReportedDate": "2019-11-29",
        "tierDescription": "NMS Tier 1",
        "initialPublishedDate": "2019-12-16",
        "tierIdentifier": "T1",
        "summaryStartDate": "2019-11-25",
        "totalWeeklyTradeCount": 20877,
        "weekStartDate": "2019-11-25",
        "MPID": null,
        "firmCRDNumber": null,
        "productTypeCode": "CTS",
        "marketParticipantName": null,
        "summaryTypeCode": "ATS_W_SMBL"
    },
    {
        "totalWeeklyShareQuantity": 920769,
        "issueSymbolIdentifier": "CAT",
        "issueName": "Caterpillar Inc.",
        "lastUpdateDate": "2019-12-16",
        "lastReportedDate": "2019-11-29",
        "tierDescription": "NMS Tier 1",
        "initialPublishedDate": "2019-12-16",
        "tierIdentifier": "T1",
        "summaryStartDate": "2019-11-25",
        "totalWeeklyTradeCount": 8343,
        "weekStartDate": "2019-11-25",
        "MPID": null,
        "firmCRDNumber": null,
        "productTypeCode": "CTS",
        "marketParticipantName": null,
        "summaryTypeCode": "ATS_W_SMBL"
    },
    {
        "totalWeeklyShareQuantity": 443378,
        "issueSymbolIdentifier": "RPM",
        "issueName": "RPM International, Inc.",
        "lastUpdateDate": "2019-12-16",
        "lastReportedDate": "2019-11-29",
        "tierDescription": "NMS Tier 1",
        "initialPublishedDate": "2019-12-16",
        "tierIdentifier": "T1",
        "summaryStartDate": "2019-11-25",
        "totalWeeklyTradeCount": 3637,
        "weekStartDate": "2019-11-25",
        "MPID": null,
        "firmCRDNumber": null,
        "productTypeCode": "CTS",
        "marketParticipantName": null,
        "summaryTypeCode": "ATS_W_SMBL"
    }
]

 

Sample Request
https://api.finra.org/data/group/otcMarket/name/weeklysummaryMock

 

Sample Request Payload
{
"limit":5,
"fields":["issueSymbolIdentifier", "issueName", "totalWeeklyShareQuantity","totalWeeklyTradeCount","lastUpdateDate"],  
"compareFilters": [ 
{  "compareType": "equal", "fieldName": "tierIdentifier", "fieldValue": "T1" },
{  "compareType": "greater", "fieldName": "summaryStartDate", "fieldValue":"2019-09-01"},
{  "compareType": "equal", "fieldName": "summaryTypeCode", "fieldValue": "OTC_W_SMBL" },
{  "compareType": "equal", "fieldName": "issueSymbolIdentifier", "fieldValue" : "AAPL"}
]
}

 

Sample Response
[
    {
        "totalWeeklyShareQuantity": 26751538,
        "totalWeeklyTradeCount": 122064,
        "issueSymbolIdentifier": "AAPL",
        "issueName": "Apple Inc. Common Stock",
        "lastUpdateDate": "2019-12-16"
    },
    {
        "totalWeeklyShareQuantity": 61066753,
        "totalWeeklyTradeCount": 344312,
        "issueSymbolIdentifier": "AAPL",
        "issueName": "Apple Inc. Common Stock",
        "lastUpdateDate": "2020-01-21"
    },
    {
        "totalWeeklyShareQuantity": 38534334,
        "totalWeeklyTradeCount": 194504,
        "issueSymbolIdentifier": "AAPL",
        "issueName": "Apple Inc. Common Stock",
        "lastUpdateDate": "2019-11-19"
    },
    {
        "totalWeeklyShareQuantity": 46491641,
        "totalWeeklyTradeCount": 237714,
        "issueSymbolIdentifier": "AAPL",
        "issueName": "Apple Inc. Common Stock",
        "lastUpdateDate": "2020-01-13"
    },
    {
        "totalWeeklyShareQuantity": 44012751,
        "totalWeeklyTradeCount": 217716,
        "issueSymbolIdentifier": "AAPL",
        "issueName": "Apple Inc. Common Stock",
        "lastUpdateDate": "2019-12-02"
    }
]

 


 

FINRA Content

Datasets in the FINRA Content category include data and content typically found on FINRA.org including the FINRA Rulebook.

See the available datasets below.

 

FINRA Rulebook

FINRA's current and historical rules and regulations

Dataset Info:

group dataset test dataset
finra finraRulebook finraRulebookMock

 

Tagged FINRA Rulebook

The finraRulebook dataset now provides additional fields - summaryTopics and detailedTopics along with rule content. Summary topics and detailed topics are taxonomy terms that have been applied, or "tagged", to FINRA Rules and can be defined as

summaryTopics: List of high-level fundamental regulatory topics associated with the rule

detailedTopics: List of comprehensive topics, regulatory or otherwise, associated with the rule

Please note that currently summaryTopics and detailedTopics are only available for limited versions of the 40 FINRA Rules. You can learn more about this initiative here.

Disclaimer

The FINRA Rulebook API is for informational purposes only and does not provide regulatory or compliance advice. You should always review the relevant rule text and the related guidance to understand your regulatory obligations. Usage or reliance on this API is not a defense to a failure to comply with the FINRA rules.

Sample Request
https://api.finra.org/data/group/finra/name/finraRulebookMock

 

Sample Response
[
    {
        "effectiveEndDate": null,
        "rulebookHierarchy": "2000. DUTIES AND CONFLICTS > 2090. Know Your Customer",
        "ruleTitle": "2090. Know Your Customer",
        "detailedTopics": [
            "Defined Terms within the Rule or Rule Series (DT)>Essential Facts",
            "Terminology (TR)>Supervisory & Compliance>Account Supervision",
            "Terminology (TR)>Regulatory, Legal & Ethical>Acting on Behalf",
            "Terminology (TR)>Regulatory, Legal & Ethical>Applicable",
            "Terminology (TR)>Customers, Clients, Investors & Agents>Authorized Agents",
            "Terminology (TR)>Regulatory, Legal & Ethical>Authorized or Unauthorized",
            "Terminology (TR)>Customers, Clients, Investors & Agents>Beneficial or Equity Owner",
            "Terminology (TR)>Settlement, Clearance, Operations & Financial>Client or Customer On-Boarding (eg, Account Opening Process, Account Data & Documentation)",
            "Terminology (TR)>Legal Entities, Relationships & Physical Locations>Customer-Authorized Agent Relationship",
            "Terminology (TR)>Investment Products>Debt Securities",
            "Terminology (TR)>Legal Entities, Relationships & Physical Locations>Delegation of Authority",
            "Terminology (TR)>Regulatory, Legal & Ethical>Discretionary Authority or Investment Decisions",
            "Terminology (TR)>Investment Products>Equity Securities",
            "Terminology (TR)>Customers, Clients, Investors & Agents>Existing Customer, Client or Investor",
            "Terminology (TR)>Industry Participants>FINRA Member",
            "Terminology (TR)>Customers, Clients, Investors & Agents>Legal Entity Customers or Clients",
            "Terminology (TR)>Legal Entities, Relationships & Physical Locations>Letter of Authorization",
            "Terminology (TR)>Regulatory, Legal & Ethical>Made, Maintained, Kept, Retained or Preserved",
            "Terminology (TR)>Legal Entities, Relationships & Physical Locations>Power of Attorney (POA)",
            "Terminology (TR)>Customers, Clients, Investors & Agents>Prospective Customer, Client or Investor",
            "Terminology (TR)>Supervisory & Compliance>Written Supervisory Procedures (WSPs)"
        ],
        "summaryTopics": [
            "Account Information & Management (ACC)>Account Instructions",
            "Account Information & Management (ACC)>Account Opening, Servicing or Termination",
            "Account Information & Management (ACC)>Customer Notification, Verification, Authorization, Representation, Acknowledgement or Consent>Affirmative Indication or Consent",
            "Account Information & Management (ACC)>Beneficial Interest, Ownership or Control",
            "Account Information & Management (ACC)>Account Information>Essential Facts Regarding the Customer",
            "Business Unit (BU)>Compliance or Supervision",
            "Business Unit (BU)>Financial or Operations",
            "Business Unit (BU)>Sales",
            "Customer Type (CT)>Institutional or Non-Retail",
            "Customer Type (CT)>Retail",
            "Firm Type (FT)>Clearing & Carrying",
            "Firm Type (FT)>Diversified",
            "Firm Type (FT)>Retail",
            "Firm Type (FT)>Trading & Execution",
            "Obligations & Duties (OD)>Recordkeeping & Documentation>Correspondence, Complaints or Other Customer Communications or Documentation",
            "Obligations & Duties (OD)>Communications>Customer or Public Interactions",
            "Obligations & Duties (OD)>Customers, Accounts & Transactions>Exercise of Discretion or Discretionary Accounts",
            "Obligations & Duties (OD)>Customers, Accounts & Transactions>Know Your Customer (KYC) or Anti-Money Laundering (AML)",
            "Obligations & Duties (OD)>Recordkeeping & Documentation>Names, Titles, Dates, Locations, Sources or Other Identifying Information",
            "Obligations & Duties (OD)>Recordkeeping & Documentation>Policies, Procedures or Programs",
            "Obligations & Duties (OD)>Supervision, Compliance & Inspections>Policies, Procedures, Systems, Processes, Programs or Plans",
            "Obligations & Duties (OD)>Supervision, Compliance & Inspections>Reasonable Investigation, Diligence, Analysis, Basis or Efforts",
            "Security Type (ST)>Debt",
            "Security Type (ST)>Equity"
        ],
        "ruleNumber": "2090",
        "effectiveStartDate": "2012-07-09",
        "ruleTextAscii": "   Every member shall use reasonable diligence, in regard to the opening and maintenance of every account, to know (and retain) the essential facts concerning every customer and concerning the authority of each person acting on behalf of such customer.     • • • Supplementary Material: --------------     .01 Essential Facts. For purposes of this Rule, facts \"essential\" to \"knowing the customer\" are those required to (a) effectively service the customer's account, (b) act in accordance with any special handling instructions for the account, (c) understand the authority of each person acting on behalf of the customer, and (d) comply with applicable laws, regulations, and rules.         Adopted by SR-FINRA-2010-039 and amended by SR-FINRA-2011-016 eff. July 9, 2012.Selected Notices: 11-02, 11-25, 12-25.        ",
        "ruleTextHtml": "<div class=\"indent_firstpara\">   <span class=\"us\">Every member shall use reasonable diligence, in regard to the opening and maintenance of every account, to know (and retain) the essential facts concerning every customer and concerning the authority of each person acting on behalf of such customer.</span> </div> <hr style=\"height:1px;\" /> <p>   <span class=\"us\"><strong>&#8226;&#160;&#8226;&#160;&#8226;&#160;Supplementary Material: --------------</strong></span> </p> <p>   <span class=\"us\"><strong>.01 Essential Facts.</strong> For purposes of this Rule, facts \"essential\" to \"knowing the customer\" are those required to (a) effectively service the customer&#039;s account, (b) act in accordance with any special handling instructions for the account, (c) understand the authority of each person acting on behalf of the customer, and (d) comply with applicable laws, regulations, and rules.</span> </p><!-- m:annotable --> <table width=\"500\" border=\"1\" cellspacing=\"0\" cellpadding=\"4\" class=\"footnote\" bordercolor=\"#D9E3FF\">   <tr>     <td align=\"left\" valign=\"top\">       Adopted by SR-FINRA-2010-039 and amended by SR-FINRA-2011-016 eff. July 9, 2012.<br />       <br />       <strong>Selected Notices:</strong> <ref>11-02</ref>, <ref>11-25</ref>, <ref>12-25</ref>.     </td>   </tr> </table><!-- /m:annotable -->"
    }
]

 

Sample Request
https://api.finra.org/data/group/finra/name/finraRulebookMock

 

Sample Request Payload
{
"fields":["rulebookHierarchy","effectiveStartDate","effectiveEndDate","ruleTextAscii","summaryTopics"],  
"compareFilters": [ 
{"compareType": "equal", "fieldName": "summaryTopics", "fieldValue": "Customer Type (CT)>Retail" }
]
}

 

Sample Response
[
    {
        "rulebookHierarchy": "2000. DUTIES AND CONFLICTS > 2090. Know Your Customer",
        "effectiveEndDate": null,
        "ruleNumber": "2090",
        "effectiveStartDate": "2012-07-09",
        "ruleTextAscii": "   Every member shall use reasonable diligence, in regard to the opening and maintenance of every account, to know (and retain) the essential facts concerning every customer and concerning the authority of each person acting on behalf of such customer.     • • • Supplementary Material: --------------     .01 Essential Facts. For purposes of this Rule, facts \"essential\" to \"knowing the customer\" are those required to (a) effectively service the customer's account, (b) act in accordance with any special handling instructions for the account, (c) understand the authority of each person acting on behalf of the customer, and (d) comply with applicable laws, regulations, and rules.         Adopted by SR-FINRA-2010-039 and amended by SR-FINRA-2011-016 eff. July 9, 2012.Selected Notices: 11-02, 11-25, 12-25.        "
    }
]

 


 

Industry Snapshot: Firm Registration Types

Breakdown of securities industry registered firms by type of registration.

Dataset Info:

group dataset test dataset
finra industrySnapshotFirmsByRegistrationType industrySnapshotFirmsByRegistrationTypeMock
Sample Request
https://api.finra.org/data/group/FINRA/name/IndustrySnapshotFirmsByRegistrationTypeMock

 

Sample Response
[
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 247,
        "reportDate": "2021-12-31",
        "year": 2006,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 327,
        "reportDate": "2021-12-31",
        "year": 2006,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 288,
        "reportDate": "2021-12-31",
        "year": 2007,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 312,
        "reportDate": "2021-12-31",
        "year": 2007,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 218,
        "reportDate": "2021-12-31",
        "year": 2008,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 324,
        "reportDate": "2021-12-31",
        "year": 2008,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 162,
        "reportDate": "2021-12-31",
        "year": 2009,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 341,
        "reportDate": "2021-12-31",
        "year": 2009,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 189,
        "reportDate": "2021-12-31",
        "year": 2010,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 329,
        "reportDate": "2021-12-31",
        "year": 2010,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 172,
        "reportDate": "2021-12-31",
        "year": 2011,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 294,
        "reportDate": "2021-12-31",
        "year": 2011,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 137,
        "reportDate": "2021-12-31",
        "year": 2012,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 303,
        "reportDate": "2021-12-31",
        "year": 2012,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 106,
        "reportDate": "2021-12-31",
        "year": 2013,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 249,
        "reportDate": "2021-12-31",
        "year": 2013,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 144,
        "reportDate": "2021-12-31",
        "year": 2014,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 222,
        "reportDate": "2021-12-31",
        "year": 2014,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 119,
        "reportDate": "2021-12-31",
        "year": 2015,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 244,
        "reportDate": "2021-12-31",
        "year": 2015,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 123,
        "reportDate": "2021-12-31",
        "year": 2016,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 231,
        "reportDate": "2021-12-31",
        "year": 2016,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 96,
        "reportDate": "2021-12-31",
        "year": 2017,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 205,
        "reportDate": "2021-12-31",
        "year": 2017,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 100,
        "reportDate": "2021-12-31",
        "year": 2018,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 219,
        "reportDate": "2021-12-31",
        "year": 2018,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 116,
        "reportDate": "2021-12-31",
        "year": 2019,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 206,
        "reportDate": "2021-12-31",
        "year": 2019,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 128,
        "reportDate": "2021-12-31",
        "year": 2020,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 210,
        "reportDate": "2021-12-31",
        "year": 2020,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Entering",
        "numberOfFirms": 109,
        "reportDate": "2021-12-31",
        "year": 2021,
        "individualOrFirm": "Firm"
    },
    {
        "leavingOrEntering": "Leaving",
        "numberOfFirms": 150,
        "reportDate": "2021-12-31",
        "year": 2021,
        "individualOrFirm": "Firm"
    }
]

 

Firm

The Firm API datasets provide access to data specific to individual FINRA member firms.

See the available datasets below. 

 

4530 Customer Complaints

4530 customer complaint filings submitted by your firm.

Dataset Info:

group dataset test dataset
firm 4530filings 4530filingsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/4530filingsMock?limit=5

 

Sample Response
[
    {
        "branchStateCode": "CA",
        "contactFirstName": "Alex",
        "securityDescription3": "The only danger Im in is financial crisis.",
        "securityDescription2": "That one way to find out your financial status",
        "securityDescription1": "British Special Operations Executive (SOE) to communicate with their agents",
        "explanation": "British Special Operations Executive (SOE) to communicate with their agents",
        "representativeEmploymentStateCode": "Y",
        "problemCode": "63",
        "investigatorLastName": "Lauren",
        "statutoryDisqualificationPartyLastName": "Haro",
        "filingPeriod": "2019Q2",
        "securitySymbol2": "QWQWQW",
        "securitySymbol3": "UYUYU",
        "securitySymbol1": "ZZZ",
        "branchCrdNumber": "0101010000",
        "filingNumber": 1,
        "allegedActivityPeriodDateFlag1": "N",
        "allegedActivityPeriodDateFlag2": "N",
        "complaintRelatedToFirmFlag": "1",
        "discoveryDate": "2019-01-22 00:00:00.0",
        "filingStatus": "S",
        "representativeSupervisorFirstName": "Ashrook",
        "contactTelephoneNumber": "000-000-1234",
        "branchPostalCode": "20878",
        "customerFirstName": "Donna",
        "complaintRelatedToRepresentativeFlag": "0",
        "contactLastName": "Posin",
        "disputedAmountIndicator": "0",
        "totalDisputedAmount": 58383,
        "statutoryDisqualificationPartyCompanyName": "XYZ Company",
        "complaintRelatedToAccountsPayableFlag": "1",
        "commentSummary": "Close the window airforce is coming",
        "disciplinaryActionCode": "W",
        "dispositionCode": "A",
        "responseDate": "2019-03-04 12:11:29.0",
        "statutoryDisqualificationPartyFirstName": "Jess",
        "allegedActivityPeriodDate2": "2019/00/00",
        "transactionDate2": "2019-01-01 00:00:00.0",
        "filingTypeCode": "C",
        "allegedActivityPeriodDate1": "2019/00/00",
        "transactionAmount": 111326,
        "representativeCity": "Orefield",
        "customerLastName": "Samueal",
        "representativeCrdNumber": 1245675444,
        "subjectsName": "Adam Cuce",
        "complaintRelatedToMunicipalFlag": "1",
        "submissionDate": "2019-04-04 16:24:29.0",
        "firmCrdNumber": 76543210,
        "transactionDate": "2019-01-01 00:00:00.0",
        "investigatorFirstName": "RALPH",
        "versionNumber": 1,
        "eventCode": "19",
        "productCode": "00",
        "statutoryDisqualificationsMemberRelationCode": "A ",
        "firmSequenceNumber": "123",
        "complaintRelatedToAffiliateFlag": "0",
        "complaintRelatedToOtherFlag": "1",
        "comment": "The client has no problem",
        "representativeSupervisorLastName": "sussilk",
        "representativeZipCodeNumber": 20878,
        "otherPartyName": "Siddset"
    },
    {
        "branchStateCode": "MD",
        "contactFirstName": "Ismael",
        "securityDescription3": "The only danger Im in is financial crisis. ",
        "securityDescription2": "That one way to find out your financial status",
        "securityDescription1": "British Special Operations Executive (SOE) to communicate with their agents",
        "explanation": "British Special Operations Executive (SOE) to communicate with their agents",
        "representativeEmploymentStateCode": "Y",
        "problemCode": "60",
        "investigatorLastName": "Repa",
        "statutoryDisqualificationPartyLastName": "ALOI",
        "filingPeriod": "2010Q2",
        "securitySymbol2": "QWQWQW",
        "securitySymbol3": "UYUYU",
        "securitySymbol1": "ZZZ",
        "branchCrdNumber": "0101010000",
        "filingNumber": 1,
        "allegedActivityPeriodDateFlag1": "N",
        "allegedActivityPeriodDateFlag2": "N",
        "complaintRelatedToFirmFlag": "1",
        "discoveryDate": "2010-01-22 00:00:00.0",
        "filingStatus": "X",
        "representativeSupervisorFirstName": "RAFFAELE",
        "contactTelephoneNumber": "000-000-1234",
        "branchPostalCode": "12345",
        "customerFirstName": "Abby",
        "complaintRelatedToRepresentativeFlag": "1",
        "contactLastName": "Anthony",
        "disputedAmountIndicator": "0",
        "totalDisputedAmount": 39224,
        "statutoryDisqualificationPartyCompanyName": "XYZ Company",
        "complaintRelatedToAccountsPayableFlag": "1",
        "commentSummary": "Close the window airforce is coming",
        "disciplinaryActionCode": "W",
        "dispositionCode": "J",
        "responseDate": "2010-03-04 12:11:29.0",
        "statutoryDisqualificationPartyFirstName": "ANDREW",
        "allegedActivityPeriodDate2": "2010/00/00",
        "transactionDate2": "2010-10-01 00:00:00.0",
        "filingTypeCode": "D",
        "allegedActivityPeriodDate1": "2010/00/00",
        "transactionAmount": 56405,
        "representativeCity": "CUMMING",
        "customerLastName": "Romain",
        "representativeCrdNumber": 1245675444,
        "subjectsName": "ANDERSON, ERIC",
        "complaintRelatedToMunicipalFlag": "1",
        "submissionDate": "2010-02-04 16:24:29.0",
        "firmCrdNumber": 76543210,
        "transactionDate": "2010-01-01 00:00:00.0",
        "investigatorFirstName": "Belle",
        "versionNumber": 12,
        "eventCode": "18",
        "productCode": "01",
        "statutoryDisqualificationsMemberRelationCode": "F ",
        "firmSequenceNumber": "123",
        "complaintRelatedToAffiliateFlag": "0",
        "complaintRelatedToOtherFlag": "1",
        "comment": "The client has no problem",
        "representativeSupervisorLastName": "HOFFMAN",
        "representativeZipCodeNumber": 22180,
        "otherPartyName": "Kaplan, Robert"
    },
    {
        "branchStateCode": "VA",
        "contactFirstName": "Menachem",
        "securityDescription3": "The only danger Im in is financial crisis",
        "securityDescription2": "That one way to find out your financial status",
        "securityDescription1": "British Special Operations Executive (SOE) to communicate with their agents",
        "explanation": "British Special Operations Executive (SOE) to communicate with their agents",
        "representativeEmploymentStateCode": "Y",
        "problemCode": "61",
        "investigatorLastName": "LOKENSKY",
        "statutoryDisqualificationPartyLastName": "Aliaga",
        "filingPeriod": "2011Q2",
        "securitySymbol2": "QWQWQW",
        "securitySymbol3": "UYUYU",
        "securitySymbol1": "ZZZ",
        "branchCrdNumber": "0101010000",
        "filingNumber": 3,
        "allegedActivityPeriodDateFlag1": "Y",
        "allegedActivityPeriodDateFlag2": "Y",
        "complaintRelatedToFirmFlag": "1",
        "discoveryDate": "2011-01-22 00:00:00.0",
        "filingStatus": "D",
        "representativeSupervisorFirstName": "Meisheng",
        "contactTelephoneNumber": "000-000-1234",
        "branchPostalCode": "64333",
        "customerFirstName": "Lacey",
        "complaintRelatedToRepresentativeFlag": "0",
        "contactLastName": "Cruz",
        "disputedAmountIndicator": "0",
        "totalDisputedAmount": 11233,
        "statutoryDisqualificationPartyCompanyName": "XYZ Company",
        "complaintRelatedToAccountsPayableFlag": "1",
        "commentSummary": "Close the window airforce is coming",
        "disciplinaryActionCode": "T",
        "dispositionCode": "S",
        "responseDate": "2011-01-04 12:11:29.0",
        "statutoryDisqualificationPartyFirstName": "Albert",
        "allegedActivityPeriodDate2": "2011/00/00",
        "transactionDate2": "2011-10-01 00:00:00.0",
        "filingTypeCode": "D",
        "allegedActivityPeriodDate1": "2011/00/00",
        "transactionAmount": 8873,
        "representativeCity": "Kennebunk",
        "customerLastName": "ELOSEILY",
        "representativeCrdNumber": 1245675444,
        "subjectsName": "ANDERSON, LINDA",
        "complaintRelatedToMunicipalFlag": "1",
        "submissionDate": "2011-02-20 16:24:29.0",
        "firmCrdNumber": 76543210,
        "transactionDate": "2011-08-01 00:00:00.0",
        "investigatorFirstName": "DANETTE",
        "versionNumber": 3,
        "eventCode": "17",
        "productCode": "02",
        "statutoryDisqualificationsMemberRelationCode": "R ",
        "firmSequenceNumber": "123",
        "complaintRelatedToAffiliateFlag": "1",
        "complaintRelatedToOtherFlag": "1",
        "comment": "The client has no problem",
        "representativeSupervisorLastName": "FRONTERA",
        "representativeZipCodeNumber": 12345,
        "otherPartyName": "Ed Sabo"
    },
    {
        "branchStateCode": "OH",
        "contactFirstName": "Jolyon",
        "securityDescription3": "The only danger Im in is financial crisis",
        "securityDescription2": "That one way to find out your finance",
        "securityDescription1": "British Special Operations Executive (SOE) to communicate with their agents",
        "explanation": "British Special Operations Executive (SOE) to communicate with their agents",
        "representativeEmploymentStateCode": "N",
        "problemCode": "63",
        "investigatorLastName": "Carolyn",
        "statutoryDisqualificationPartyLastName": "Allen",
        "filingPeriod": "2018Q2",
        "securitySymbol2": "QWQWQW",
        "securitySymbol3": "UYUYU",
        "securitySymbol1": "ZZZ",
        "branchCrdNumber": "0101010000",
        "filingNumber": 4,
        "allegedActivityPeriodDateFlag1": "Y",
        "allegedActivityPeriodDateFlag2": "Y",
        "complaintRelatedToFirmFlag": "1",
        "discoveryDate": "2018-11-22 00:00:00.0",
        "filingStatus": "S",
        "representativeSupervisorFirstName": "KNIGHT",
        "contactTelephoneNumber": "000-000-1234",
        "branchPostalCode": "65745",
        "customerFirstName": "Felix",
        "complaintRelatedToRepresentativeFlag": "1",
        "contactLastName": "Melia",
        "disputedAmountIndicator": "1",
        "totalDisputedAmount": 11235,
        "statutoryDisqualificationPartyCompanyName": "XYZ Company",
        "complaintRelatedToAccountsPayableFlag": "1",
        "commentSummary": "Close the window airforce is coming",
        "disciplinaryActionCode": "W",
        "dispositionCode": "A",
        "responseDate": "2018-12-04 12:11:29.0",
        "statutoryDisqualificationPartyFirstName": "Amber",
        "allegedActivityPeriodDate2": "2018/00/00",
        "transactionDate2": "2018-10-01 00:00:00.0",
        "filingTypeCode": "C",
        "allegedActivityPeriodDate1": "2018/00/00",
        "transactionAmount": 322974,
        "representativeCity": "SOUTHWICK",
        "customerLastName": "kaltenbaugh",
        "representativeCrdNumber": 1245675444,
        "subjectsName": "ANDERSON, STEVEN",
        "complaintRelatedToMunicipalFlag": "1",
        "submissionDate": "2018-11-25 16:24:29.0",
        "firmCrdNumber": 76543210,
        "transactionDate": "2018-12-01 00:00:00.0",
        "investigatorFirstName": "Suzannd",
        "versionNumber": 11,
        "eventCode": "16",
        "productCode": "18",
        "statutoryDisqualificationsMemberRelationCode": "O ",
        "firmSequenceNumber": "123",
        "complaintRelatedToAffiliateFlag": "1",
        "complaintRelatedToOtherFlag": "0",
        "comment": "The client has no problem",
        "representativeSupervisorLastName": "SCHIEFFER",
        "representativeZipCodeNumber": 78563,
        "otherPartyName": "james greer"
    },
    {
        "branchStateCode": "CA",
        "contactFirstName": "Talha",
        "securityDescription3": "The only danger Im in is financial situation cant be ignored completely ",
        "securityDescription2": "That one way to find out your financial status",
        "securityDescription1": "British Special Operations Executive (SOE) to communicate with their agents",
        "explanation": "It is not recommended",
        "representativeEmploymentStateCode": "Y",
        "problemCode": "63",
        "investigatorLastName": "Irish",
        "statutoryDisqualificationPartyLastName": "Amanat",
        "filingPeriod": "2016Q4",
        "securitySymbol2": "QWQWQW",
        "securitySymbol3": "QWQWQW",
        "securitySymbol1": "AAAA",
        "branchCrdNumber": "0101010000",
        "filingNumber": 5,
        "allegedActivityPeriodDateFlag1": "Y",
        "allegedActivityPeriodDateFlag2": "N",
        "complaintRelatedToFirmFlag": "1",
        "discoveryDate": "2016-01-22 00:00:00.0",
        "filingStatus": "X",
        "representativeSupervisorFirstName": "STOKES",
        "contactTelephoneNumber": "000-000-1234",
        "branchPostalCode": "98356",
        "customerFirstName": "Lucia",
        "complaintRelatedToRepresentativeFlag": "0",
        "contactLastName": "Orr",
        "disputedAmountIndicator": "2",
        "totalDisputedAmount": 11134,
        "statutoryDisqualificationPartyCompanyName": "XYZ Companye",
        "complaintRelatedToAccountsPayableFlag": "1",
        "commentSummary": "Blue is the definition of purple squared by green",
        "disciplinaryActionCode": "W",
        "dispositionCode": "J",
        "responseDate": "2016-12-04 12:11:29.0",
        "statutoryDisqualificationPartyFirstName": "Andrew",
        "allegedActivityPeriodDate2": "2016/00/00",
        "transactionDate2": "2016-10-01 00:00:00.0",
        "filingTypeCode": "C",
        "allegedActivityPeriodDate1": "2016/00/00",
        "transactionAmount": 322232,
        "representativeCity": "COLLEGEVILLE",
        "customerLastName": "KANE",
        "representativeCrdNumber": 1245675444,
        "subjectsName": "ANDREWS, JASON",
        "complaintRelatedToMunicipalFlag": "1",
        "submissionDate": "2016-06-25 16:24:29.0",
        "firmCrdNumber": 76543210,
        "transactionDate": "2016-09-01 00:00:00.0",
        "investigatorFirstName": "JONES",
        "versionNumber": 12,
        "eventCode": "15",
        "productCode": "17",
        "statutoryDisqualificationsMemberRelationCode": "R ",
        "firmSequenceNumber": " 123",
        "complaintRelatedToAffiliateFlag": "1",
        "complaintRelatedToOtherFlag": "0",
        "comment": "The client has no problem",
        "representativeSupervisorLastName": "Acuff",
        "representativeZipCodeNumber": 20174,
        "otherPartyName": "BAUDENDISTEL, ROBERT"
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/4530filingsMock

 

Sample Request Payload
{
"limit":5,
"fields":["filingNumber","versionNumber","filingTypeCode","filingStatus","firmSequenceNumber","explanation"],  
"compareFilters": [ 
{"compareType": "equal", "fieldName": "disciplinaryActionCode", "fieldValue": "W" }
]
}
 

 

Sample Response
[
    {
        "filingNumber": 1,
        "filingStatus": "S",
        "filingTypeCode": "C",
        "firmSequenceNumber": "123",
        "explanation": "British Special Operations Executive (SOE) to communicate with their agents",
        "versionNumber": 1
    },
    {
        "filingNumber": 1,
        "filingStatus": "X",
        "filingTypeCode": "D",
        "firmSequenceNumber": "123",
        "explanation": "British Special Operations Executive (SOE) to communicate with their agents",
        "versionNumber": 12
    },
    {
        "filingNumber": 4,
        "filingStatus": "S",
        "filingTypeCode": "C",
        "firmSequenceNumber": "123",
        "explanation": "British Special Operations Executive (SOE) to communicate with their agents",
        "versionNumber": 11
    },
    {
        "filingNumber": 5,
        "filingStatus": "X",
        "filingTypeCode": "C",
        "firmSequenceNumber": " 123",
        "explanation": "It is not recommended",
        "versionNumber": 12
    },
    {
        "filingNumber": 7,
        "filingStatus": "S",
        "filingTypeCode": "D",
        "firmSequenceNumber": " 454",
        "explanation": "It is not recommended",
        "versionNumber": 14
    }
]

 


 

Fixed Income

The Fixed Income API datasets provide access to OTC secondary market transaction data for fixed income securities as reported to TRACE.

Key highlights:

  1. Weekly Treasury Aggregates - TRACE reported trading volume in US Treasury Securities aggregated weekly by security subtype.
  2. Market Breadth & Sentiment - TRACE fixed income market breadth and sentiment data.
  3. Capped Volume - TRACE structured product and coporate/agency capped volume data.

See the available datasets below.

 

Terms of Service

Access to the Fixed Income datasets are governed by the following specific Terms of Service:

The specific Terms of Service for the Registration datasets are included by reference in the FINRA API Terms of Service.

Agency Debt Market Breadth

Market breadth calculations for Agency debt securities.

Dataset Info:

group dataset test dataset
fixedIncomeMarket agencyMarketBreadth agencyMarketBreadthMock

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/agencyMarketBreadthMock?limit=5

 

Sample Response
[
    {
        "declines": 115,
        "totalVolume": 5521.238468,
        "advances": 227,
        "unchanged": 13,
        "totalTrades": 434,
        "tradeReportDate": "2020-03-31",
        "fiftyTwoWeekHigh": 126,
        "productCategory": "all securities",
        "fiftyTwoWeekLow": 15
    },
    {
        "declines": 17,
        "totalVolume": 1161.404774,
        "advances": 31,
        "unchanged": 5,
        "totalTrades": 67,
        "tradeReportDate": "2020-03-31",
        "fiftyTwoWeekHigh": 14,
        "productCategory": "freddie mac",
        "fiftyTwoWeekLow": 6
    },
    {
        "declines": 20,
        "totalVolume": 1513.166915,
        "advances": 45,
        "unchanged": 0,
        "totalTrades": 77,
        "tradeReportDate": "2020-03-31",
        "fiftyTwoWeekHigh": 18,
        "productCategory": "fannie mae",
        "fiftyTwoWeekLow": 2
    },
    {
        "declines": 42,
        "totalVolume": 2058.135606,
        "advances": 69,
        "unchanged": 2,
        "totalTrades": 128,
        "tradeReportDate": "2020-03-31",
        "fiftyTwoWeekHigh": 37,
        "productCategory": "fhlb",
        "fiftyTwoWeekLow": 5
    },
    {
        "declines": 126,
        "totalVolume": 2991.444765,
        "advances": 242,
        "unchanged": 10,
        "totalTrades": 464,
        "tradeReportDate": "2020-03-30",
        "fiftyTwoWeekHigh": 136,
        "productCategory": "all securities",
        "fiftyTwoWeekLow": 20
    }
]

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/agencyMarketBreadthMock

 

Sample Request Payload
{
"limit":5,
"fields":["tradeReportDate","productCategory","totalTrades","advances","declines"],  
"compareFilters": [ 
{"compareType": "lesser", "fieldName": "declines", "fieldValue": 50 }
]
}

 

Sample Response
[
    {
        "declines": 17,
        "advances": 31,
        "totalTrades": 67,
        "tradeReportDate": "2020-03-31",
        "productCategory": "freddie mac"
    },
    {
        "declines": 20,
        "advances": 45,
        "totalTrades": 77,
        "tradeReportDate": "2020-03-31",
        "productCategory": "fannie mae"
    },
    {
        "declines": 42,
        "advances": 69,
        "totalTrades": 128,
        "tradeReportDate": "2020-03-31",
        "productCategory": "fhlb"
    },
    {
        "declines": 19,
        "advances": 23,
        "totalTrades": 67,
        "tradeReportDate": "2020-03-30",
        "productCategory": "freddie mac"
    },
    {
        "declines": 25,
        "advances": 39,
        "totalTrades": 75,
        "tradeReportDate": "2020-03-30",
        "productCategory": "fannie mae"
    }
]

 

Agency Debt Market Sentiment

Market sentiment calculations for Agency debt securities.

Dataset Info:

group dataset test dataset
fixedIncomeMarket agencyMarketSentiment agencyMarketSentimentMock

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/agencyMarketSentimentMock?limit=5

 

Sample Response
[
    {
        "totalVolume": 5521.23847,
        "totalTransactions": 1872,
        "totalTrades": 434,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "all securities"
    },
    {
        "totalVolume": 1635.70833,
        "totalTransactions": 412,
        "totalTrades": 211,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "customer buy"
    },
    {
        "totalVolume": 2845.65913,
        "totalTransactions": 683,
        "totalTrades": 304,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "customer sell"
    },
    {
        "totalVolume": 26.522,
        "totalTransactions": 14,
        "totalTrades": 10,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "affiliate buy"
    },
    {
        "totalVolume": 0.528,
        "totalTransactions": 2,
        "totalTrades": 2,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "affiliate sell"
    }
]

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/agencyMarketSentimentMock

 

Sample Request Payload
{
"limit":5,
"fields":["tradeReportDate","tradeType","productCategory","totalTransactions","totalTrades"],  
"compareFilters": [ 
{"compareType": "greater", "fieldName": "totalTrades", "fieldValue": 300 }
]
}
 

 

Sample Response
[
    {
        "totalTransactions": 1872,
        "totalTrades": 434,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "all securities"
    },
    {
        "totalTransactions": 683,
        "totalTrades": 304,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "customer sell"
    },
    {
        "totalTransactions": 1954,
        "totalTrades": 464,
        "tradeReportDate": "2020-03-30",
        "tradeType": "all securities",
        "productCategory": "all securities"
    },
    {
        "totalTransactions": 740,
        "totalTrades": 352,
        "tradeReportDate": "2020-03-30",
        "tradeType": "all securities",
        "productCategory": "customer sell"
    },
    {
        "totalTransactions": 1857,
        "totalTrades": 471,
        "tradeReportDate": "2020-03-27",
        "tradeType": "all securities",
        "productCategory": "all securities"
    }
]

 

Corporate 144A Debt Market Breadth

Market breadth calculations for Rule 144A corporate debt securities.

Dataset Info:

group dataset test dataset
fixedIncomeMarket corporate144AMarketBreadth corporate144AMarketBreadthMock

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/corporate144AMarketBreadthMock?limit=5

 

Sample Response
[
    {
        "declines": 592,
        "totalVolume": 11093.5282,
        "advances": 1018,
        "unchanged": 53,
        "totalTrades": 1746,
        "tradeReportDate": "2020-03-31",
        "fiftyTwoWeekHigh": 19,
        "productCategory": "all securities",
        "fiftyTwoWeekLow": 101
    },
    {
        "declines": 165,
        "totalVolume": 3710.398133,
        "advances": 430,
        "unchanged": 19,
        "totalTrades": 661,
        "tradeReportDate": "2020-03-31",
        "fiftyTwoWeekHigh": 14,
        "productCategory": "investment grade",
        "fiftyTwoWeekLow": 32
    },
    {
        "declines": 401,
        "totalVolume": 6847.515149,
        "advances": 551,
        "unchanged": 33,
        "totalTrades": 1020,
        "tradeReportDate": "2020-03-31",
        "fiftyTwoWeekHigh": 5,
        "productCategory": "high yield",
        "fiftyTwoWeekLow": 66
    },
    {
        "declines": 26,
        "totalVolume": 535.92,
        "advances": 37,
        "unchanged": 1,
        "totalTrades": 65,
        "tradeReportDate": "2020-03-31",
        "fiftyTwoWeekHigh": 0,
        "productCategory": "convertibles",
        "fiftyTwoWeekLow": 3
    },
    {
        "declines": 460,
        "totalVolume": 9120.73982,
        "advances": 934,
        "unchanged": 70,
        "totalTrades": 1543,
        "tradeReportDate": "2020-03-30",
        "fiftyTwoWeekHigh": 19,
        "productCategory": "all securities",
        "fiftyTwoWeekLow": 113
    }
]

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/corporate144AMarketBreadthMock

 

Sample Request Payload
{
"limit":5,
"fields":["productCategory","fiftyTwoWeekLow","declines","unchanged","totalVolume"],  
"compareFilters": [ 
{"compareType": "greater", "fieldName": "fiftyTwoWeekLow", "fieldValue": 50 }
]
}
 

 

Sample Response
[
    {
        "declines": 592,
        "totalVolume": 11093.5282,
        "unchanged": 53,
        "productCategory": "all securities",
        "fiftyTwoWeekLow": 101
    },
    {
        "declines": 401,
        "totalVolume": 6847.515149,
        "unchanged": 33,
        "productCategory": "high yield",
        "fiftyTwoWeekLow": 66
    },
    {
        "declines": 460,
        "totalVolume": 9120.73982,
        "unchanged": 70,
        "productCategory": "all securities",
        "fiftyTwoWeekLow": 113
    },
    {
        "declines": 298,
        "totalVolume": 5435.334856,
        "unchanged": 40,
        "productCategory": "high yield",
        "fiftyTwoWeekLow": 62
    },
    {
        "declines": 489,
        "totalVolume": 10635.742387,
        "unchanged": 65,
        "productCategory": "all securities",
        "fiftyTwoWeekLow": 126
    }
]

 

Corporate 144A Debt Market Sentiment

Market sentiment calculations for Rule 144A corporate debt securities.

Dataset Info:

group dataset test dataset
fixedIncomeMarket corporate144AMarketSentiment corporate144AMarketSentimentMock

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/corporate144AMarketSentimentMock?limit=5

 

Sample Response
[
    {
        "totalVolume": 11193.43528,
        "totalTransactions": 7937,
        "totalTrades": 1754,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "all securities"
    },
    {
        "totalVolume": 4893.34163,
        "totalTransactions": 3124,
        "totalTrades": 1355,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "customer buy"
    },
    {
        "totalVolume": 4574.51531,
        "totalTransactions": 2437,
        "totalTrades": 1147,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "customer sell"
    },
    {
        "totalVolume": 178.928,
        "totalTransactions": 154,
        "totalTrades": 133,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "affiliate buy"
    },
    {
        "totalVolume": 345.381,
        "totalTransactions": 144,
        "totalTrades": 127,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "affiliate sell"
    }
]

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/corporate144AMarketSentimentMock

 

Sample Request Payload
{
"limit":5,
"fields":["totalVolume","totalTransactions","totalTrades","tradeReportDate","tradeType"],  
"compareFilters": [ 
{"compareType": "equal", "fieldName": "productCategory", "fieldValue": "affiliate buy" }
]
}
 

 

Sample Response
[
    {
        "totalVolume": 178.928,
        "totalTransactions": 154,
        "totalTrades": 133,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities"
    },
    {
        "totalVolume": 68.855,
        "totalTransactions": 72,
        "totalTrades": 63,
        "tradeReportDate": "2020-03-31",
        "tradeType": "investment grade"
    },
    {
        "totalVolume": 109.384,
        "totalTransactions": 81,
        "totalTrades": 69,
        "tradeReportDate": "2020-03-31",
        "tradeType": "high yield"
    },
    {
        "totalVolume": 0.689,
        "totalTransactions": 1,
        "totalTrades": 1,
        "tradeReportDate": "2020-03-31",
        "tradeType": "convertible bonds"
    },
    {
        "totalVolume": 0,
        "totalTransactions": 0,
        "totalTrades": 0,
        "tradeReportDate": "2020-03-31",
        "tradeType": "church bonds"
    }
]

 

Corporate And Agency Capped Volume

Capped volume calculations for corporate and agency debt.

Dataset Info:

group dataset test dataset
fixedIncomeMarket corporatesAndAgenciesCappedVolume corporatesAndAgenciesCappedVolumeMock

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/corporatesAndAgenciesCappedVolumeMock?limit=5

 

Sample Response
[
    {
        "parMaturityGreaterThan25YearsQuantity": 43804286000,
        "customerBuyParGreaterThan5YearsLessThan10YearsQuantity": 26402324801.22,
        "tradeLessThan5MillionCount": 0,
        "interdealerParGreaterThan10yCountearsLessThan25YearsQuantity": 2036754000,
        "interdealerTradeMaturityGreaterThan25YearsCount": 392,
        "tradeMaturityGreaterThan10YearsLessThan25YearsCount": 2705,
        "interdealerParLessThan5yearsQuantity": 6791411000,
        "interdealerTradeMaturityGreaterThan5yearsLessThan10YearsCount": 612,
        "customerBuyTradeMaturityLessThan5YearsCount": 2953,
        "parGreaterThan10MillionLessThan25MillionQuantity": 117561509467.43,
        "parMaturityGreaterThan10YearsLessThan25YearsQuantity": 29060132844.95,
        "customerSellTradeMaturityGreaterThan25YearsCount": 1811,
        "parMaturityGreaterThan5YearsLessThan10YearsQuantity": 66676020980.07,
        "customerSellTradeMaturityGreaterThan5YearsLessThan10YearsCount": 3014,
        "tradeGreaterThan25MillionCount": 1120,
        "interdealerParGreaterThan25YearsQuantity": 3399482000,
        "parLessThan5MillionQuantity": 0,
        "interdealerMaturityTradeLessThan5yearsCount": 689,
        "customerSellParGreaterThan10YearsLessThan25YearsQuantity": 13177509048.28,
        "tradeReportDate": "2020-07-01",
        "tradeGreaterThan5MillionLessThan10MillionCount": 9661,
        "customerBuyTradeMaturityGreaterThan10YearsLessThan25YearsCount": 1282,
        "customerBuyParGreaterThan25YearsQuantity": 20373951000,
        "interdealerParGreaterThan5yearsLessThan10YearsQuantity": 5328053617.65,
        "customerSellTradeMaturityGreaterThan10YearsLessThan25YearsCount": 1184,
        "tradeYear": 2020,
        "customerSellParGreaterThan25YearsQuantity": 20030853000,
        "tradeGreaterThan10MillionLessThan25MillionCount": 9018,
        "tradeMaturityLessThan5YearsCount": 6974,
        "customerBuyParLessThan5YearsQuantity": 35315591685.65,
        "parGreaterThan25MillionQuantity": 40002509798.63,
        "tradeMonth": 6,
        "customerSellParLessThan5YearsQuantity": 42842671816.48,
        "tradeMaturityGreaterThan25YearsCount": 4083,
        "144AFlag": "N",
        "parMaturityLessThan5YearsQuantity": 84949674502.13,
        "customerBuyTradeMaturityGreaterThan5YearsLessThan10YearsCount": 2411,
        "parGreaterThan5MillionLessThan10MillionQuantity": 66926095061.09,
        "customerSellParGreaterThan5YearsLessThan10YearsQuantity": 34945642561.2,
        "customerBuyTradeMaturityGreaterThan25YearsCount": 1880,
        "tradeMaturityGreaterThan5YearsLessThan10YearsCount": 6037,
        "gradeCode": "IG",
        "customerSellTradeMaturityLessThan5YearsCount": 3332,
        "interdealerTradeMaturityGreaterThan10yearsLessThan25YearsCount": 239,
        "totalTradeCount": 19799,
        "totalVolumeQuantity": 224490114.33,
        "customerBuyParGreaterThan10YearsLessThan25YearsQuantity": 13845869796.67
    },
    {
        "parMaturityGreaterThan25YearsQuantity": 3741177794.94,
        "customerBuyParGreaterThan5YearsLessThan10YearsQuantity": 5298976836.63,
        "tradeLessThan5MillionCount": 0,
        "interdealerParGreaterThan10yCountearsLessThan25YearsQuantity": 351590000,
        "interdealerTradeMaturityGreaterThan25YearsCount": 34,
        "tradeMaturityGreaterThan10YearsLessThan25YearsCount": 428,
        "interdealerParLessThan5yearsQuantity": 1010591000,
        "interdealerTradeMaturityGreaterThan5yearsLessThan10YearsCount": 75,
        "customerBuyTradeMaturityLessThan5YearsCount": 865,
        "parGreaterThan10MillionLessThan25MillionQuantity": 20736632000,
        "parMaturityGreaterThan10YearsLessThan25YearsQuantity": 4689981552.37,
        "customerSellTradeMaturityGreaterThan25YearsCount": 165,
        "parMaturityGreaterThan5YearsLessThan10YearsQuantity": 11449094678.53,
        "customerSellTradeMaturityGreaterThan5YearsLessThan10YearsCount": 491,
        "tradeGreaterThan25MillionCount": 271,
        "interdealerParGreaterThan25YearsQuantity": 309803000,
        "parLessThan5MillionQuantity": 0,
        "interdealerMaturityTradeLessThan5yearsCount": 101,
        "customerSellParGreaterThan10YearsLessThan25YearsQuantity": 2264808872.31,
        "tradeReportDate": "2020-07-01",
        "tradeGreaterThan5MillionLessThan10MillionCount": 1832,
        "customerBuyTradeMaturityGreaterThan10YearsLessThan25YearsCount": 189,
        "customerBuyParGreaterThan25YearsQuantity": 1660881000,
        "interdealerParGreaterThan5yearsLessThan10YearsQuantity": 640368000,
        "customerSellTradeMaturityGreaterThan10YearsLessThan25YearsCount": 198,
        "tradeYear": 2020,
        "customerSellParGreaterThan25YearsQuantity": 1770493794.94,
        "tradeGreaterThan10MillionLessThan25MillionCount": 1590,
        "tradeMaturityLessThan5YearsCount": 1840,
        "customerBuyParLessThan5YearsQuantity": 12699406000,
        "parGreaterThan25MillionQuantity": 13059048000,
        "tradeMonth": 6,
        "customerSellParLessThan5YearsQuantity": 12976067000,
        "tradeMaturityGreaterThan25YearsCount": 360,
        "144AFlag": "Y",
        "parMaturityLessThan5YearsQuantity": 26686064000,
        "customerBuyTradeMaturityGreaterThan5YearsLessThan10YearsCount": 499,
        "parGreaterThan5MillionLessThan10MillionQuantity": 12770638025.84,
        "customerSellParGreaterThan5YearsLessThan10YearsQuantity": 5509749841.9,
        "customerBuyTradeMaturityGreaterThan25YearsCount": 161,
        "tradeMaturityGreaterThan5YearsLessThan10YearsCount": 1065,
        "gradeCode": "IG",
        "customerSellTradeMaturityLessThan5YearsCount": 874,
        "interdealerTradeMaturityGreaterThan10yearsLessThan25YearsCount": 41,
        "totalTradeCount": 3693,
        "totalVolumeQuantity": 46566318.03,
        "customerBuyParGreaterThan10YearsLessThan25YearsQuantity": 2073582680.06
    },
    {
        "parMaturityGreaterThan25YearsQuantity": 20878434182.92,
        "customerBuyParGreaterThan5YearsLessThan10YearsQuantity": 18205801651.04,
        "tradeLessThan5MillionCount": 29069,
        "interdealerParGreaterThan10yCountearsLessThan25YearsQuantity": 3639537365.17,
        "interdealerTradeMaturityGreaterThan25YearsCount": 1119,
        "tradeMaturityGreaterThan10YearsLessThan25YearsCount": 5332,
        "interdealerParLessThan5yearsQuantity": 6687933146.79,
        "interdealerTradeMaturityGreaterThan5yearsLessThan10YearsCount": 2743,
        "customerBuyTradeMaturityLessThan5YearsCount": 5446,
        "parGreaterThan10MillionLessThan25MillionQuantity": 25715408879.37,
        "parMaturityGreaterThan10YearsLessThan25YearsQuantity": 21190653051.67,
        "customerSellTradeMaturityGreaterThan25YearsCount": 2178,
        "parMaturityGreaterThan5YearsLessThan10YearsQuantity": 45325772157.94,
        "customerSellTradeMaturityGreaterThan5YearsLessThan10YearsCount": 5516,
        "tradeGreaterThan25MillionCount": 207,
        "interdealerParGreaterThan25YearsQuantity": 3267701000,
        "parLessThan5MillionQuantity": 66018073172.4,
        "interdealerMaturityTradeLessThan5yearsCount": 2721,
        "customerSellParGreaterThan10YearsLessThan25YearsQuantity": 9092144039.55,
        "tradeReportDate": "2020-07-01",
        "tradeGreaterThan5MillionLessThan10MillionCount": 6376,
        "customerBuyTradeMaturityGreaterThan10YearsLessThan25YearsCount": 1897,
        "customerBuyParGreaterThan25YearsQuantity": 8459478631.46,
        "interdealerParGreaterThan5yearsLessThan10YearsQuantity": 7003842304.8,
        "customerSellTradeMaturityGreaterThan10YearsLessThan25YearsCount": 2205,
        "tradeYear": 2020,
        "customerSellParGreaterThan25YearsQuantity": 9151254551.46,
        "tradeGreaterThan10MillionLessThan25MillionCount": 2013,
        "tradeMaturityLessThan5YearsCount": 13861,
        "customerBuyParLessThan5YearsQuantity": 20695515479.28,
        "parGreaterThan25MillionQuantity": 7669944261.03,
        "tradeMonth": 6,
        "customerSellParLessThan5YearsQuantity": 22107966891.82,
        "tradeMaturityGreaterThan25YearsCount": 5193,
        "144AFlag": "N",
        "parMaturityLessThan5YearsQuantity": 49491415517.89,
        "customerBuyTradeMaturityGreaterThan5YearsLessThan10YearsCount": 5020,
        "parGreaterThan5MillionLessThan10MillionQuantity": 37482848597.62,
        "customerSellParGreaterThan5YearsLessThan10YearsQuantity": 20116128202.1,
        "customerBuyTradeMaturityGreaterThan25YearsCount": 1896,
        "tradeMaturityGreaterThan5YearsLessThan10YearsCount": 13279,
        "gradeCode": "HY",
        "customerSellTradeMaturityLessThan5YearsCount": 5694,
        "interdealerTradeMaturityGreaterThan10yearsLessThan25YearsCount": 1230,
        "totalTradeCount": 37665,
        "totalVolumeQuantity": 136886274.91,
        "customerBuyParGreaterThan10YearsLessThan25YearsQuantity": 8458971646.95
    },
    {
        "parMaturityGreaterThan25YearsQuantity": 3362489424.78,
        "customerBuyParGreaterThan5YearsLessThan10YearsQuantity": 27952177472.96,
        "tradeLessThan5MillionCount": 28241,
        "interdealerParGreaterThan10yCountearsLessThan25YearsQuantity": 1843668218.5,
        "interdealerTradeMaturityGreaterThan25YearsCount": 89,
        "tradeMaturityGreaterThan10YearsLessThan25YearsCount": 2725,
        "interdealerParLessThan5yearsQuantity": 3848546773.45,
        "interdealerTradeMaturityGreaterThan5yearsLessThan10YearsCount": 3642,
        "customerBuyTradeMaturityLessThan5YearsCount": 4731,
        "parGreaterThan10MillionLessThan25MillionQuantity": 19224338889.17,
        "parMaturityGreaterThan10YearsLessThan25YearsQuantity": 10001594259.06,
        "customerSellTradeMaturityGreaterThan25YearsCount": 368,
        "parMaturityGreaterThan5YearsLessThan10YearsQuantity": 67516167607.56,
        "customerSellTradeMaturityGreaterThan5YearsLessThan10YearsCount": 9057,
        "tradeGreaterThan25MillionCount": 116,
        "interdealerParGreaterThan25YearsQuantity": 358367000,
        "parLessThan5MillionQuantity": 64315954799.58,
        "interdealerMaturityTradeLessThan5yearsCount": 1611,
        "customerSellParGreaterThan10YearsLessThan25YearsQuantity": 4254535703.08,
        "tradeReportDate": "2020-07-01",
        "tradeGreaterThan5MillionLessThan10MillionCount": 5568,
        "customerBuyTradeMaturityGreaterThan10YearsLessThan25YearsCount": 954,
        "customerBuyParGreaterThan25YearsQuantity": 1386356000,
        "interdealerParGreaterThan5yearsLessThan10YearsQuantity": 8657287213.67,
        "customerSellTradeMaturityGreaterThan10YearsLessThan25YearsCount": 1073,
        "tradeYear": 2020,
        "customerSellParGreaterThan25YearsQuantity": 1617766424.78,
        "tradeGreaterThan10MillionLessThan25MillionCount": 1515,
        "tradeMaturityLessThan5YearsCount": 11029,
        "customerBuyParLessThan5YearsQuantity": 18089793419.85,
        "parGreaterThan25MillionQuantity": 4813666566,
        "tradeMonth": 6,
        "customerSellParLessThan5YearsQuantity": 18295135468.17,
        "tradeMaturityGreaterThan25YearsCount": 758,
        "144AFlag": "Y",
        "parMaturityLessThan5YearsQuantity": 40233475661.47,
        "customerBuyTradeMaturityGreaterThan5YearsLessThan10YearsCount": 8229,
        "parGreaterThan5MillionLessThan10MillionQuantity": 32759766698.12,
        "customerSellParGreaterThan5YearsLessThan10YearsQuantity": 30906702920.93,
        "customerBuyTradeMaturityGreaterThan25YearsCount": 301,
        "tradeMaturityGreaterThan5YearsLessThan10YearsCount": 20928,
        "gradeCode": "HY",
        "customerSellTradeMaturityLessThan5YearsCount": 4687,
        "interdealerTradeMaturityGreaterThan10yearsLessThan25YearsCount": 698,
        "totalTradeCount": 35440,
        "totalVolumeQuantity": 121113726.95,
        "customerBuyParGreaterThan10YearsLessThan25YearsQuantity": 3903390337.48
    },
    {
        "parMaturityGreaterThan25YearsQuantity": 239442820,
        "customerBuyParGreaterThan5YearsLessThan10YearsQuantity": 7231862337.76,
        "tradeLessThan5MillionCount": 0,
        "interdealerParGreaterThan10yCountearsLessThan25YearsQuantity": 1144701000,
        "interdealerTradeMaturityGreaterThan25YearsCount": 0,
        "tradeMaturityGreaterThan10YearsLessThan25YearsCount": 280,
        "interdealerParLessThan5yearsQuantity": 13186342000,
        "interdealerTradeMaturityGreaterThan5yearsLessThan10YearsCount": 237,
        "customerBuyTradeMaturityLessThan5YearsCount": 1423,
        "parGreaterThan10MillionLessThan25MillionQuantity": 24462156940.22,
        "parMaturityGreaterThan10YearsLessThan25YearsQuantity": 4126340808.62,
        "customerSellTradeMaturityGreaterThan25YearsCount": 7,
        "parMaturityGreaterThan5YearsLessThan10YearsQuantity": 12666687208.82,
        "customerSellTradeMaturityGreaterThan5YearsLessThan10YearsCount": 138,
        "tradeGreaterThan25MillionCount": 883,
        "interdealerParGreaterThan25YearsQuantity": 0,
        "parLessThan5MillionQuantity": 0,
        "interdealerMaturityTradeLessThan5yearsCount": 803,
        "customerSellParGreaterThan10YearsLessThan25YearsQuantity": 866309429.64,
        "tradeReportDate": "2020-07-01",
        "tradeGreaterThan5MillionLessThan10MillionCount": 1007,
        "customerBuyTradeMaturityGreaterThan10YearsLessThan25YearsCount": 131,
        "customerBuyParGreaterThan25YearsQuantity": 160442820,
        "interdealerParGreaterThan5yearsLessThan10YearsQuantity": 3108391000,
        "customerSellTradeMaturityGreaterThan10YearsLessThan25YearsCount": 58,
        "tradeYear": 2020,
        "customerSellParGreaterThan25YearsQuantity": 79000000,
        "tradeGreaterThan10MillionLessThan25MillionCount": 1783,
        "tradeMaturityLessThan5YearsCount": 2585,
        "customerBuyParLessThan5YearsQuantity": 49894795497.36,
        "parGreaterThan25MillionQuantity": 69453789000,
        "tradeMonth": 6,
        "customerSellParLessThan5YearsQuantity": 20991290203.47,
        "tradeMaturityGreaterThan25YearsCount": 19,
        "144AFlag": "N",
        "parMaturityLessThan5YearsQuantity": 84072427700.83,
        "customerBuyTradeMaturityGreaterThan5YearsLessThan10YearsCount": 414,
        "parGreaterThan5MillionLessThan10MillionQuantity": 7188952598.05,
        "customerSellParGreaterThan5YearsLessThan10YearsQuantity": 2326433871.06,
        "customerBuyTradeMaturityGreaterThan25YearsCount": 12,
        "tradeMaturityGreaterThan5YearsLessThan10YearsCount": 789,
        "gradeCode": "AGCY",
        "customerSellTradeMaturityLessThan5YearsCount": 359,
        "interdealerTradeMaturityGreaterThan10yearsLessThan25YearsCount": 91,
        "totalTradeCount": 3673,
        "totalVolumeQuantity": 101104898.54,
        "customerBuyParGreaterThan10YearsLessThan25YearsQuantity": 2115330378.98
    }
]

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/corporatesAndAgenciesCappedVolumeMock

 

Sample Request Payload
{
"limit":5,
"fields":["tradeReportDate","tradeMonth","tradeYear","gradeCode","totalTradeCount"],  
"compareFilters": [ 
{"compareType": "equal", "fieldName": "144AFlag", "fieldValue": "N" }
]
}
 

 

Sample Response
[
    {
        "tradeMonth": 6,
        "tradeYear": 2020,
        "tradeReportDate": "2020-07-01",
        "gradeCode": "IG",
        "totalTradeCount": 19799
    },
    {
        "tradeMonth": 6,
        "tradeYear": 2020,
        "tradeReportDate": "2020-07-01",
        "gradeCode": "HY",
        "totalTradeCount": 37665
    },
    {
        "tradeMonth": 6,
        "tradeYear": 2020,
        "tradeReportDate": "2020-07-01",
        "gradeCode": "AGCY",
        "totalTradeCount": 3673
    },
    {
        "tradeMonth": 5,
        "tradeYear": 2020,
        "tradeReportDate": "2020-07-01",
        "gradeCode": "IG",
        "totalTradeCount": 20423
    },
    {
        "tradeMonth": 5,
        "tradeYear": 2020,
        "tradeReportDate": "2020-07-01",
        "gradeCode": "HY",
        "totalTradeCount": 38784
    }
]

 

Corporate Debt Market Breadth

Market breadth calculations for corporate debt securities.

Dataset Info:

group dataset test dataset
fixedIncomeMarket corporateMarketBreadth corporateMarketBreadthMock

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/corporateMarketBreadthMock?limit=5

 

Sample Response
[
    {
        "declines": 2995,
        "totalVolume": 57356.579941,
        "advances": 5801,
        "unchanged": 86,
        "totalTrades": 9322,
        "tradeReportDate": "2020-03-31",
        "fiftyTwoWeekHigh": 245,
        "productCategory": "all securities",
        "fiftyTwoWeekLow": 451
    },
    {
        "declines": 2181,
        "totalVolume": 32882.185821,
        "advances": 4439,
        "unchanged": 42,
        "totalTrades": 6889,
        "tradeReportDate": "2020-03-31",
        "fiftyTwoWeekHigh": 196,
        "productCategory": "investment grade",
        "fiftyTwoWeekLow": 215
    },
    {
        "declines": 710,
        "totalVolume": 22990.974119,
        "advances": 1270,
        "unchanged": 40,
        "totalTrades": 2227,
        "tradeReportDate": "2020-03-31",
        "fiftyTwoWeekHigh": 48,
        "productCategory": "high yield",
        "fiftyTwoWeekLow": 221
    },
    {
        "declines": 104,
        "totalVolume": 1483.42,
        "advances": 92,
        "unchanged": 4,
        "totalTrades": 206,
        "tradeReportDate": "2020-03-31",
        "fiftyTwoWeekHigh": 1,
        "productCategory": "convertibles",
        "fiftyTwoWeekLow": 15
    },
    {
        "declines": 2799,
        "totalVolume": 41606.71201,
        "advances": 5530,
        "unchanged": 88,
        "totalTrades": 8807,
        "tradeReportDate": "2020-03-30",
        "fiftyTwoWeekHigh": 188,
        "productCategory": "all securities",
        "fiftyTwoWeekLow": 495
    }
]

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/corporateMarketBreadthMock

 

Sample Request Payload
{
"limit":5,
"fields":["declines","totalVolume","advances","unchanged","totalTrades"],  
"compareFilters": [ 
{"compareType": "equal", "fieldName": "productCategory", "fieldValue": "investment grade" }
]
}
 

 

Sample Response
[
    {
        "declines": 2181,
        "totalVolume": 32882.185821,
        "advances": 4439,
        "unchanged": 42,
        "totalTrades": 6889
    },
    {
        "declines": 1919,
        "totalVolume": 26562.651906,
        "advances": 4355,
        "unchanged": 37,
        "totalTrades": 6536
    },
    {
        "declines": 2149,
        "totalVolume": 26834.453353,
        "advances": 4118,
        "unchanged": 39,
        "totalTrades": 6557
    },
    {
        "declines": 1910,
        "totalVolume": 30816.176167,
        "advances": 4436,
        "unchanged": 40,
        "totalTrades": 6630
    },
    {
        "declines": 1538,
        "totalVolume": 30097.984563,
        "advances": 4870,
        "unchanged": 29,
        "totalTrades": 6726
    }
]

 

Corporate Debt Market Sentiment

Market sentiment calculations for corporate debt securities.

Dataset Info:

group dataset test dataset
fixedIncomeMarket corporateMarketSentiment corporateMarketSentimentMock

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/corporateMarketSentimentMock?limit=5

 

Sample Response
[
    {
        "totalVolume": 57375.46495,
        "totalTransactions": 89383,
        "totalTrades": 9431,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "all securities"
    },
    {
        "totalVolume": 23615.53967,
        "totalTransactions": 25342,
        "totalTrades": 7232,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "customer buy"
    },
    {
        "totalVolume": 21534.8051,
        "totalTransactions": 26037,
        "totalTrades": 6820,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "customer sell"
    },
    {
        "totalVolume": 1577.14683,
        "totalTransactions": 2170,
        "totalTrades": 1405,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "affiliate buy"
    },
    {
        "totalVolume": 2079.14393,
        "totalTransactions": 2214,
        "totalTrades": 1399,
        "tradeReportDate": "2020-03-31",
        "tradeType": "all securities",
        "productCategory": "affiliate sell"
    }
]

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/corporateMarketSentimentMock

 

Sample Request Payload
{
"limit":5,
"fields":["totalVolume","totalTransactions","totalTrades"],  
"compareFilters": [ 
{"compareType": "equal", "fieldName": "productCategory", "fieldValue": "customer sell" }
]
}
 

 

Sample Response
[
    {
        "totalVolume": 21534.8051,
        "totalTransactions": 26037,
        "totalTrades": 6820
    },
    {
        "totalVolume": 12064.95103,
        "totalTransactions": 18666,
        "totalTrades": 5014
    },
    {
        "totalVolume": 8754.9289,
        "totalTransactions": 6966,
        "totalTrades": 1631
    },
    {
        "totalVolume": 713.935,
        "totalTransactions": 373,
        "totalTrades": 153
    },
    {
        "totalVolume": 0.074,
        "totalTransactions": 11,
        "totalTrades": 9
    }
]

 

Securitized Product Capped Volume

Capped volume calculations for securitized products.

Dataset Info:

group dataset test dataset
fixedIncomeMarket securitizedProductsCappedVolume securitizedProductsCappedVolumeMock

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/securitizedProductsCappedVolumeMock?limit=5

 

Sample Response
[
    {
        "tradeMonth": 4,
        "tradeYear": 2020,
        "averageTransactionCount": 63423,
        "securitySubtype": null,
        "tradeReportDate": "2020-05-01",
        "productType": "MBS"
    },
    {
        "tradeMonth": 4,
        "tradeYear": 2020,
        "averageTransactionCount": 144406,
        "securitySubtype": "GD",
        "tradeReportDate": "2020-05-01",
        "productType": "TBA"
    },
    {
        "tradeMonth": 4,
        "tradeYear": 2020,
        "averageTransactionCount": 31987,
        "securitySubtype": "NGD",
        "tradeReportDate": "2020-05-01",
        "productType": "TBA"
    },
    {
        "tradeMonth": 4,
        "tradeYear": 2020,
        "averageTransactionCount": 24498,
        "securitySubtype": null,
        "tradeReportDate": "2020-05-01",
        "productType": "ABS"
    },
    {
        "tradeMonth": 3,
        "tradeYear": 2020,
        "averageTransactionCount": 67586,
        "securitySubtype": null,
        "tradeReportDate": "2020-05-01",
        "productType": "MBS"
    }
]

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/securitizedProductsCappedVolumeMock

 

Sample Request Payload
{
"limit":5,
"fields":["tradeMonth","tradeYear","averageTransactionCount"],  
"compareFilters": [ 
{"compareType": "equal", "fieldName": "productType", "fieldValue": "TBA" }
]
}
 

 

Sample Response
[
    {
        "tradeMonth": 4,
        "tradeYear": 2020,
        "averageTransactionCount": 144406
    },
    {
        "tradeMonth": 4,
        "tradeYear": 2020,
        "averageTransactionCount": 31987
    },
    {
        "tradeMonth": 3,
        "tradeYear": 2020,
        "averageTransactionCount": 147129
    },
    {
        "tradeMonth": 3,
        "tradeYear": 2020,
        "averageTransactionCount": 29330
    },
    {
        "tradeMonth": 2,
        "tradeYear": 2020,
        "averageTransactionCount": 153064
    }
]

 

Treasury Daily Aggregates

Daily trading volume in US Treasury Securities reported to TRACE.

Dataset Info:

group dataset test dataset
fixedIncomeMarket treasuryDailyAggregates treasuryDailyAggregatesMock

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/treasuryDailyAggregatesMock?limit=5

 

Sample Response
[
    {
        "yearsToMaturity": null,
        "dealerCustomerVolume": 73.7,
        "atsInterdealerCount": 25064,
        "tradeDate": "2023-02-13",
        "dealerCustomerCount": 27886,
        "volumeWeightedAveragePrice": null,
        "benchmark": null,
        "atsInterdealerVolume": 46.4,
        "productCategory": "Bills"
    },
    {
        "yearsToMaturity": null,
        "dealerCustomerVolume": 0.7,
        "atsInterdealerCount": 109,
        "tradeDate": "2023-02-13",
        "dealerCustomerCount": 215,
        "volumeWeightedAveragePrice": null,
        "benchmark": null,
        "atsInterdealerVolume": 0.1,
        "productCategory": "FRNs"
    },
    {
        "yearsToMaturity": "<= 2 years",
        "dealerCustomerVolume": 17.6,
        "atsInterdealerCount": 16066,
        "tradeDate": "2023-02-13",
        "dealerCustomerCount": 2232,
        "volumeWeightedAveragePrice": 99.232,
        "benchmark": "On-the-run",
        "atsInterdealerVolume": 33.4,
        "productCategory": "Nominal Coupons"
    },
    {
        "yearsToMaturity": "<= 2 years",
        "dealerCustomerVolume": 19.1,
        "atsInterdealerCount": 21201,
        "tradeDate": "2023-02-13",
        "dealerCustomerCount": 22922,
        "volumeWeightedAveragePrice": null,
        "benchmark": "Off-the-run",
        "atsInterdealerVolume": 10.5,
        "productCategory": "Nominal Coupons"
    },
    {
        "yearsToMaturity": "> 2 years and <= 3 years",
        "dealerCustomerVolume": 18.4,
        "atsInterdealerCount": 13266,
        "tradeDate": "2023-02-13",
        "dealerCustomerCount": 1189,
        "volumeWeightedAveragePrice": 99.388,
        "benchmark": "On-the-run",
        "atsInterdealerVolume": 27.3,
        "productCategory": "Nominal Coupons"
    }
]

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/treasuryDailyAggregatesMock

 

Sample Request Payload
{
"limit":5,
"fields":["yearsToMaturity","dealerCustomerVolume","atsInterdealerVolume", "tradeDate", "dealerCustomerCount"]
}
 

 

Sample Response
[
    {
        "yearsToMaturity": null,
        "dealerCustomerVolume": 73.7,
        "tradeDate": "2023-02-13",
        "dealerCustomerCount": 27886,
        "atsInterdealerVolume": 46.4
    },
    {
        "yearsToMaturity": null,
        "dealerCustomerVolume": 0.7,
        "tradeDate": "2023-02-13",
        "dealerCustomerCount": 215,
        "atsInterdealerVolume": 0.1
    },
    {
        "yearsToMaturity": "<= 2 years",
        "dealerCustomerVolume": 17.6,
        "tradeDate": "2023-02-13",
        "dealerCustomerCount": 2232,
        "atsInterdealerVolume": 33.4
    },
    {
        "yearsToMaturity": "<= 2 years",
        "dealerCustomerVolume": 19.1,
        "tradeDate": "2023-02-13",
        "dealerCustomerCount": 22922,
        "atsInterdealerVolume": 10.5
    },
    {
        "yearsToMaturity": "> 2 years and <= 3 years",
        "dealerCustomerVolume": 18.4,
        "tradeDate": "2023-02-13",
        "dealerCustomerCount": 1189,
        "atsInterdealerVolume": 27.3
    }
]

 

Treasury Monthly Aggregates

Monthly trading volume in US Treasury Securities reported to TRACE.

Dataset Info:

group dataset test dataset
fixedIncomeMarket treasuryMonthlyAggregates treasuryMonthlyAggregatesMock

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/treasuryMonthlyAggregatesMock?limit=5

 

Sample Response
[
    {
        "beginningOfTheMonthDate": "2023-02-01",
        "yearsToMaturity": null,
        "dealerCustomerVolume": 1802.3,
        "dealerCustomerCount": 780389,
        "atsInterdealerVolume": 1066.1,
        "productCategory": "Bills"
    },
    {
        "beginningOfTheMonthDate": "2023-02-01",
        "yearsToMaturity": null,
        "dealerCustomerVolume": 78.8,
        "dealerCustomerCount": 4554,
        "atsInterdealerVolume": 17.3,
        "productCategory": "FRNs"
    },
    {
        "beginningOfTheMonthDate": "2023-02-01",
        "yearsToMaturity": "<= 2 years",
        "dealerCustomerVolume": 478,
        "dealerCustomerCount": 47444,
        "atsInterdealerVolume": 865,
        "productCategory": "Nominal Coupons"
    },
    {
        "beginningOfTheMonthDate": "2023-02-01",
        "yearsToMaturity": "<= 2 years",
        "dealerCustomerVolume": 544.1,
        "dealerCustomerCount": 605349,
        "atsInterdealerVolume": 352.1,
        "productCategory": "Nominal Coupons"
    },
    {
        "beginningOfTheMonthDate": "2023-02-01",
        "yearsToMaturity": "> 2 years and <= 3 years",
        "dealerCustomerVolume": 427.2,
        "dealerCustomerCount": 31290,
        "atsInterdealerVolume": 780,
        "productCategory": "Nominal Coupons"
    }
]

 

Sample Request
https://api.finra.org/data/group/fixedIncomeMarket/name/treasuryMonthlyAggregatesMock

 

Sample Request Payload
{
"limit":5,
"fields":["beginningOfTheMonthDate", "yearsToMaturity","dealerCustomerVolume","atsInterdealerVolume", "dealerCustomerCount", "productCategory"]
}

 

Sample Response
[
    {
        "beginningOfTheMonthDate": "2023-02-01",
        "yearsToMaturity": null,
        "dealerCustomerVolume": 1802.3,
        "dealerCustomerCount": 780389,
        "atsInterdealerVolume": 1066.1,
        "productCategory": "Bills"
    },
    {
        "beginningOfTheMonthDate": "2023-02-01",
        "yearsToMaturity": null,
        "dealerCustomerVolume": 78.8,
        "dealerCustomerCount": 4554,
        "atsInterdealerVolume": 17.3,
        "productCategory": "FRNs"
    },
    {
        "beginningOfTheMonthDate": "2023-02-01",
        "yearsToMaturity": "<= 2 years",
        "dealerCustomerVolume": 478,
        "dealerCustomerCount": 47444,
        "atsInterdealerVolume": 865,
        "productCategory": "Nominal Coupons"
    },
    {
        "beginningOfTheMonthDate": "2023-02-01",
        "yearsToMaturity": "<= 2 years",
        "dealerCustomerVolume": 544.1,
        "dealerCustomerCount": 605349,
        "atsInterdealerVolume": 352.1,
        "productCategory": "Nominal Coupons"
    },
    {
        "beginningOfTheMonthDate": "2023-02-01",
        "yearsToMaturity": "> 2 years and <= 3 years",
        "dealerCustomerVolume": 427.2,
        "dealerCustomerCount": 31290,
        "atsInterdealerVolume": 780,
        "productCategory": "Nominal Coupons"
    }
]

 

Registration

The Registration API datasets provide member firms access to their registration records as stored in the Central Registration Depository (CRD).

Terms of Service

Access to the Registration datasets are governed by the following specific Terms of Service:

The specific Terms of Service for the Registration datasets are included by reference in the FINRA API Terms of Service.

Accounting

Upcoming

Provides accounting transactions for a given date range

Dataset Info:

groupdatasetmock dataset
registrationaccountingaccountingMock

 

Terms of Service

The specific Terms of Service for the Registration datasets are included by reference in the FINRA API Terms of Service.

The Accounting Dataset returns the requesting firm's CRD Accounting transactions for a given date range in ET. The firm can look for accounting transactions for the last 30 days.

  1. Following are the available parameters for the dataset 
     

    FieldRequiredFormat
    startDate YesYYYY-MM-DD
    endDate NoYYYY-MM-DD
  2. An accounting transaction is returned only if its posted in last 30 days from the current date.  Example: If the transaction was posted on 5/1/2024 , it can show up in the accounting dataset until 5/31/2024. 
  3. The dataset support synchronous calls and can be utilized using only GET
Sample Request
https://api.finra.org/data/group/registration/name/accountingMock?startDate=2024-05-01

 

Sample Response
[
    {
        "controlTotal": 79789.5,
        "accountTransactions": [
            {
                "amountInDollars": 175,
                "branchNumber": 92988,
                "transactionNumber": 48538610,
                "accountType": "CRDRG",
                "individualCRDNumber": 6032248,
                "individualName": "JEWETT,WADE,D",
                "transactionDescription": "S10 Exam",
                "postingDate": "2023-07-25",
                "invoiceDate": "2023-06-28",
                "feeType": "INDV",
                "transactionType": "Transaction",
                "billingCode": "050207",
                "name": {
                    "middle": "Juliano",
                    "last": "Rodriguez",
                    "suffix": "JR",
                    "first": "Fuser"
                },
                "recipientOfFunds": "FINRA"
            },
            {
                "amountInDollars": 155,
                "branchNumber": 93124,
                "transactionNumber": 48535866,
                "accountType": "CRDRG",
                "individualCRDNumber": 7616453,
                "individualName": "EHRET,ALISON,R",
                "transactionDescription": "FINRA Member Disc Proc Fee",
                "postingDate": "2023-08-14",
                "invoiceDate": "2023-07-21",
                "feeType": "INDV",
                "transactionType": "Transaction",
                "billingCode": "050207",
                "name": {
                    "middle": "N",
                    "last": "Smith",
                    "suffix": "JR",
                    "first": "Stephanie"
                },
                "recipientOfFunds": "FINRA"
            }
        ]
    }
]

Annual Reg Element Continuing Education

Deprecated

Annual Reg Element continuing education status information for registered individuals.

Dataset Info:

groupdatasettest dataset
firmregisteredIndividualAnnualCERequirementsregisteredIndividualAnnualCERequirementsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualAnnualCERequirementsMock?limit=5

 

Sample Response
[
    {
        "ceStatusDate": "2022-12-16",
        "registrations": [
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "CBOE BZX"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "CBOE EDGA"
            },
            {
                "regulatorCode": "DE"
            },
            {
                "regulatorCode": "NYSE"
            }
        ],
        "ceInactiveStartDate": null,
        "militaryAnnualVerificationReceivedFlag": "NO",
        "ceStatusDesc": "Satisfied",
        "militaryDutyBeginDate": null,
        "annualCeRequirements": [
            {
                "courseName": "Preventing Sexual Harassment (IA INT)",
                "courseStatusDesc": "No CE Status",
                "ceYear": 2022,
                "courseStatusCode": "NOCESTATUS",
                "courseDueDate": "2022-12-31",
                "courseAssignedDate": "2022-01-01",
                "courseId": "11218"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 20472,
                "newHireFlag": "YES",
                "isActive": "YES"
            }
        ],
        "ce2YearTermedDate": null,
        "individualCrdNumber": 1,
        "militaryDeferredFlag": "NO",
        "ceStatusCode": "SATISFIED"
    },
    {
        "ceStatusDate": "2022-12-16",
        "registrations": [
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "IEX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "NYSE-NAT"
            }
        ],
        "ceInactiveStartDate": "2022-12-16",
        "militaryAnnualVerificationReceivedFlag": "YES",
        "ceStatusDesc": "Inactive",
        "militaryDutyBeginDate": "2020-01-01",
        "annualCeRequirements": [
            {
                "courseName": "Anti-Money Laundering for Financial Services Professionals (IA INT)",
                "courseStatusDesc": "CE 2 Year Termed",
                "ceYear": 2022,
                "courseStatusCode": "CE2YEARTERMED",
                "courseDueDate": "2022-12-31",
                "courseAssignedDate": "2022-01-01",
                "courseId": "11205"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 29071,
                "newHireFlag": "NO",
                "isActive": "YES"
            }
        ],
        "ce2YearTermedDate": null,
        "individualCrdNumber": 10,
        "militaryDeferredFlag": "YES",
        "ceStatusCode": "INACTIVE"
    },
    {
        "ceStatusDate": "2022-12-16",
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "CBOE EDGA"
            },
            {
                "regulatorCode": "MO"
            },
            {
                "regulatorCode": "ISE MRX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "NYSE-NAT"
            }
        ],
        "ceInactiveStartDate": null,
        "militaryAnnualVerificationReceivedFlag": "YES",
        "ceStatusDesc": "CE 2 Year Termed",
        "militaryDutyBeginDate": "2020-01-01",
        "annualCeRequirements": [
            {
                "courseName": "Harassment and Discrimination in a Professional Environment (IA INT)",
                "courseStatusDesc": "CE 2 Year Termed",
                "ceYear": 2021,
                "courseStatusCode": "CE2YEARTERMED",
                "courseDueDate": "2021-12-31",
                "courseAssignedDate": "2021-01-01",
                "courseId": "11215"
            },
            {
                "courseName": "SEC Rule 15c2-12 (INT)",
                "courseStatusDesc": "Required",
                "ceYear": 2022,
                "courseStatusCode": "REQUIRED",
                "courseDueDate": "2022-12-31",
                "courseAssignedDate": "2022-01-01",
                "courseId": "9894"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 37656,
                "newHireFlag": "NO",
                "isActive": "YES"
            }
        ],
        "ce2YearTermedDate": "2022-12-16",
        "individualCrdNumber": 100,
        "militaryDeferredFlag": "YES",
        "ceStatusCode": "CE2YEARTERMED"
    },
    {
        "ceStatusDate": "2022-12-16",
        "registrations": [
            {
                "regulatorCode": "NV"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "RI"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "CBOE BZX"
            }
        ],
        "ceInactiveStartDate": null,
        "militaryAnnualVerificationReceivedFlag": "NO",
        "ceStatusDesc": "Satisfied",
        "militaryDutyBeginDate": null,
        "annualCeRequirements": [
            {
                "courseName": "Kaplan Look at Collective Funds (IA)",
                "courseStatusDesc": "CE 2 Year Termed",
                "ceYear": 2022,
                "courseStatusCode": "CE2YEARTERMED",
                "courseDueDate": "2022-12-31",
                "courseAssignedDate": "2022-01-01",
                "courseId": "8091"
            },
            {
                "courseName": "Alternative Investments (FE INT)",
                "courseStatusDesc": "CE 2 Year Termed",
                "ceYear": 2021,
                "courseStatusCode": "CE2YEARTERMED",
                "courseDueDate": "2021-12-31",
                "courseAssignedDate": "2021-01-01",
                "courseId": "10731"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 125078,
                "newHireFlag": "NO",
                "isActive": "YES"
            }
        ],
        "ce2YearTermedDate": null,
        "individualCrdNumber": 1000,
        "militaryDeferredFlag": "NO",
        "ceStatusCode": "SATISFIED"
    },
    {
        "ceStatusDate": "2022-12-16",
        "registrations": [
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "ISE GEMX"
            },
            {
                "regulatorCode": "AR"
            },
            {
                "regulatorCode": "AL"
            },
            {
                "regulatorCode": "CBOE EDGA"
            },
            {
                "regulatorCode": "PR"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "ceInactiveStartDate": null,
        "militaryAnnualVerificationReceivedFlag": "NO",
        "ceStatusDesc": "Satisfied",
        "militaryDutyBeginDate": null,
        "annualCeRequirements": [
            {
                "courseName": "Insider Trading (IA INT)",
                "courseStatusDesc": "CE 2 Year Termed",
                "ceYear": 2022,
                "courseStatusCode": "CE2YEARTERMED",
                "courseDueDate": "2022-12-31",
                "courseAssignedDate": "2022-01-01",
                "courseId": "11276"
            },
            {
                "courseName": "Regulation Best Interest (Reg BI) and Associated Materials (IA INT)",
                "courseStatusDesc": "Inactive",
                "ceYear": 2021,
                "courseStatusCode": "INACTIVE",
                "courseDueDate": "2021-12-31",
                "courseAssignedDate": "2021-01-01",
                "courseId": "11708"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 20699,
                "newHireFlag": "YES",
                "isActive": "YES"
            },
            {
                "firmCrdNumber": 13967,
                "newHireFlag": "NO",
                "isActive": "YES"
            }
        ],
        "ce2YearTermedDate": null,
        "individualCrdNumber": 10000,
        "militaryDeferredFlag": "NO",
        "ceStatusCode": "SATISFIED"
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualAnnualCERequirementsMock

 

Sample Request Payload
{
"limit":5,
"fields":["registrations.regulatorCode","ceStatusDesc","ceStatusDate", "individualCRDNumber"] 
}
 

 

Sample Response
[
    {
        "ceStatusDate": "2022-12-16",
        "registrations": [
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "CBOE BZX"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "CBOE EDGA"
            },
            {
                "regulatorCode": "DE"
            },
            {
                "regulatorCode": "NYSE"
            }
        ],
        "ceStatusDesc": "Satisfied",
        "individualCrdNumber": 1
    },
    {
        "ceStatusDate": "2022-12-16",
        "registrations": [
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "IEX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "NYSE-NAT"
            }
        ],
        "ceStatusDesc": "Inactive",
        "individualCrdNumber": 10
    },
    {
        "ceStatusDate": "2022-12-16",
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "CBOE EDGA"
            },
            {
                "regulatorCode": "MO"
            },
            {
                "regulatorCode": "ISE MRX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "NYSE-NAT"
            }
        ],
        "ceStatusDesc": "CE 2 Year Termed",
        "individualCrdNumber": 100
    },
    {
        "ceStatusDate": "2022-12-16",
        "registrations": [
            {
                "regulatorCode": "NV"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "RI"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "CBOE BZX"
            }
        ],
        "ceStatusDesc": "Satisfied",
        "individualCrdNumber": 1000
    },
    {
        "ceStatusDate": "2022-12-16",
        "registrations": [
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "ISE GEMX"
            },
            {
                "regulatorCode": "AR"
            },
            {
                "regulatorCode": "AL"
            },
            {
                "regulatorCode": "CBOE EDGA"
            },
            {
                "regulatorCode": "PR"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "ceStatusDesc": "Satisfied",
        "individualCrdNumber": 10000
    }
]

 

Branch Associated Individuals

Deprecated

Breakdown of registered individuals associated with each branch of a firm.

Dataset Info:

groupdatasettest dataset
firmregisteredIndividualBranchOfficeLocationsregisteredIndividualBranchOfficeLocationsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualBranchOfficeLocationsMock?limit=5

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "branchOfficeLocations": [
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "2002-10-15",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106560,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "2003-06-15",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106561,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "2003-02-15",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106562,
                "officeLocationType": "LOCATED AT"
            }
        ],
        "individualCrdNumber": 1
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "branchOfficeLocations": [
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "2014-09-25",
                "officeLocationRoleText": "PERSON-IN-CHARGE",
                "branchCrdNumber": 106560,
                "officeLocationType": "SUPERVISED FROM"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "2015-02-25",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106561,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "2015-03-25",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106562,
                "officeLocationType": "SUPERVISED FROM"
            }
        ],
        "individualCrdNumber": 10
    },
    {
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "branchOfficeLocations": [
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "1989-09-11",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106560,
                "officeLocationType": "SUPERVISED FROM"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "1989-02-11",
                "officeLocationRoleText": "PERSON-IN-CHARGE",
                "branchCrdNumber": 106561,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "1989-08-11",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106562,
                "officeLocationType": "LOCATED AT"
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "branchOfficeLocations": [
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "1999-07-12",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106560,
                "officeLocationType": "SUPERVISED FROM"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "2000-02-12",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106561,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "2000-04-12",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106562,
                "officeLocationType": "SUPERVISED FROM"
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "branchOfficeLocations": [
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "1972-09-17",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106560,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "1972-05-17",
                "officeLocationRoleText": "PERSON-IN-CHARGE",
                "branchCrdNumber": 106561,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "1972-11-17",
                "officeLocationRoleText": "PERSON-IN-CHARGE",
                "branchCrdNumber": 106562,
                "officeLocationType": "SUPERVISED FROM"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "2009-09-13",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106560,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "2009-02-13",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106561,
                "officeLocationType": "SUPERVISED FROM"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": null,
                "firmCrdNumber": 3000005,
                "officeLocationStartDate": "2009-04-13",
                "officeLocationRoleText": null,
                "branchCrdNumber": 106562,
                "officeLocationType": "SUPERVISED FROM"
            }
        ],
        "individualCrdNumber": 10000
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualBranchOfficeLocationsMock

 

Sample Request Payload
{
"limit":5,
"fields":["branchOfficeLocations.firmCrdNumber","branchOfficeLocations.officeLocationType","registrations.regulatorCode"],
"compareFilters": [ 
{"compareType": "equal", "fieldName": "individualCrdNumber", "fieldValue": 10 }
]
}
 

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "branchOfficeLocations": [
            {
                "firmCrdNumber": 3000005,
                "officeLocationType": "SUPERVISED FROM"
            },
            {
                "firmCrdNumber": 3000005,
                "officeLocationType": "LOCATED AT"
            },
            {
                "firmCrdNumber": 3000005,
                "officeLocationType": "SUPERVISED FROM"
            }
        ]
    }
]

 

Branch Delta

The dataset provides the ability to identify firm's branches whose information has changed within a given datetime range. 

Dataset Info:

groupdatasettest dataset
registrationbranchDeltabranchDeltaMock

 

Terms Of Service

The specific Terms of Service for the Registration datasets are included by reference in the FINRA API Terms of Service.

The Branch Delta Dataset provides the ability to identify branches whose information has changed within a given datetime range. The dataset return only returns active branches or the ones closed in the last 30 days.

  1. Dataset returns the following fields:

    FieldDescription
    branchCRDNumber Branch CRD Number
    lastUpdatedDateTime DateTime in UTC when the branch information was updated or added
    updateTypePossible values are "I" or "U"
    I: Indicates a new individual has been added
    U: Indicates the individual's information has been updated
  2. Following are the available parameters for the dataset 
     

    FieldRequiredFormat
    startDateTime YesYYYY-MM-DDTHH:MM:SS.SSSZ
    endDateTime  NoYYYY-MM-DDTHH:MM:SS.SSSZ
  3. Branch is returned only upto 30 days from the closure date.  Example: If the branch is closed on 7/1/2023 , it can show up in the branch delta dataset until 7/31. 
  4. The dataset support synchronous calls and can be utilized using only GET
Sample Request
https://api.finra.org/data/group/registration/name/branchDeltaMock?startDateTime=2024-05-05T19:45:00.000z

 

Sample Response
[
    {
        "branchCrdNumber": 1234,
        "lastUpdatedTimestamp": "2024-04-18T20:59:00.000Z",
        "updateType": "I"
    },
    {
        "branchCrdNumber": 5678,
        "lastUpdatedTimestamp": "2024-04-18T20:59:00.000Z",
        "updateType": "U"
    },
    {
        "branchCrdNumber": 2345,
        "lastUpdatedTimestamp": "2024-04-18T20:59:00.000Z",
        "updateType": "U"
    },
    {
        "branchCrdNumber": 6789,
        "lastUpdatedTimestamp": "2024-04-18T20:59:00.000Z",
        "updateType": "I"
    }
]

Branch List

Provides a list of active branches for a calling FIRM. 

Dataset Info:

groupdatasettest dataset
registrationbranchListbranchListMock

 

Terms Of Service

The specific Terms of Service for the Registration datasets are included by reference in the FINRA API Terms of Service.

The Branch List Dataset provides a list of active branches for a calling FIRM. 

  1. Dataset returns the following field:

    FieldDescription
    branchCRDNumber Branch CRD Number
  2. The dataset support synchronous calls and can be utilized using only GET
Sample Request
https://api.finra.org/data/group/registration/name/branchListMock

 

Sample Response
{
  "activeBranches": [
    123,
    234,
    456,
    567
  ]
}

Branch Office

Deprecated

Summary information about each branch associated with a firm.

Dataset Info:

groupdatasettest dataset
firmbranchOfficebranchOfficeMock

 

Sample Request
https://api.finra.org/data/group/firm/name/branchOfficeMock?limit=5

 

Sample Response
[
    {
        "branchDeficiencyStatusCode": "Clear",
        "registeredLocationFlag": "NO",
        "msrbSupervisoryJurisdictionFlag": "NO",
        "branchTypeCode": "IA ONLY",
        "branchBillingCode": "Q9H8SRC3SY",
        "branchScheduleENumber": "MMRECN0B",
        "privateResidenceFlag": "NO",
        "brokerDealerMainOfficeFlag": "NO",
        "contractToOperateFlag": "YES",
        "supervisingBranches": [
            {
                "branchCrdNumber": 1631868154736462764
            }
        ],
        "branchAddress": {
            "cityName": "Alexandria",
            "stateCode": "MO"
        },
        "operationalStatusCode": "Inactive",
        "firmCrdNumber": 3000005,
        "websiteAddresses": [
            {
                "websiteAddress": "https://QpXZEMuuXB.com"
            }
        ],
        "branchCode": "GHQIAYPD",
        "officeOfSupervisoryJurisdictionFlag": "NO",
        "otherRecordLocationsFlag": "NO",
        "investmentAdviserMainOfficeFlag": "YES",
        "branchCrdNumber": null,
        "otherBusinessNames": [
            {
                "otherBusinessName": "ZolvRaGOGQapIGmMkpPnmdYNxaGbiR"
            }
        ]
    },
    {
        "branchDeficiencyStatusCode": "Clear",
        "registeredLocationFlag": "YES",
        "msrbSupervisoryJurisdictionFlag": "YES",
        "branchTypeCode": "BD ONLY",
        "branchBillingCode": "PZ8MRPLTOQ",
        "branchScheduleENumber": "YQPE0S1A",
        "privateResidenceFlag": "NO",
        "brokerDealerMainOfficeFlag": "YES",
        "contractToOperateFlag": "NO",
        "supervisingBranches": [
            {
                "branchCrdNumber": -3311447650538918126
            }
        ],
        "branchAddress": {
            "cityName": "Normal",
            "stateCode": "MS"
        },
        "operationalStatusCode": "Active",
        "firmCrdNumber": 3000005,
        "websiteAddresses": [
            {
                "websiteAddress": "https://HHtLqRuSak.com"
            }
        ],
        "branchCode": "QD8PE8DV",
        "officeOfSupervisoryJurisdictionFlag": "NO",
        "otherRecordLocationsFlag": "NO",
        "investmentAdviserMainOfficeFlag": "NO",
        "branchCrdNumber": 50002,
        "otherBusinessNames": [
            {
                "otherBusinessName": "jXxhqzpkYZMvsUNXOKelieSZveaFQL"
            }
        ]
    },
    {
        "branchDeficiencyStatusCode": "Clear",
        "registeredLocationFlag": "NO",
        "msrbSupervisoryJurisdictionFlag": "NO",
        "branchTypeCode": "JOINT",
        "branchBillingCode": "IWZIT4MSWH",
        "branchScheduleENumber": "CYANPMSH",
        "privateResidenceFlag": "NO",
        "brokerDealerMainOfficeFlag": "NO",
        "contractToOperateFlag": "NO",
        "branchAddress": {
            "cityName": "Lewisville",
            "stateCode": "CA"
        },
        "operationalStatusCode": "Inactive",
        "firmCrdNumber": 3000005,
        "branchCode": "BQYICAU6",
        "officeOfSupervisoryJurisdictionFlag": "NO",
        "otherRecordLocationsFlag": "NO",
        "investmentAdviserMainOfficeFlag": "YES",
        "branchCrdNumber": null
    },
    {
        "branchDeficiencyStatusCode": "Clear",
        "registeredLocationFlag": "YES",
        "msrbSupervisoryJurisdictionFlag": "NO",
        "branchTypeCode": "IA ONLY",
        "branchBillingCode": "5M7VV3CFUU",
        "branchScheduleENumber": "EN3N0R5B",
        "privateResidenceFlag": "NO",
        "brokerDealerMainOfficeFlag": "NO",
        "contractToOperateFlag": "NO",
        "supervisingBranches": [
            {
                "branchCrdNumber": -1749978842404749301
            }
        ],
        "branchAddress": {
            "cityName": "Milwaukee",
            "stateCode": "MO"
        },
        "operationalStatusCode": "Active",
        "firmCrdNumber": 3000005,
        "websiteAddresses": [
            {
                "websiteAddress": "https://pQOxRfWCGm.com"
            }
        ],
        "branchCode": "TZOCQA7Z",
        "officeOfSupervisoryJurisdictionFlag": "NO",
        "otherRecordLocationsFlag": "YES",
        "investmentAdviserMainOfficeFlag": "NO",
        "branchCrdNumber": 50003,
        "otherBusinessNames": [
            {
                "otherBusinessName": "rkfBjxiPQnWUUWsPBHeXlQmwHNtEyD"
            }
        ]
    },
    {
        "branchDeficiencyStatusCode": "Clear",
        "registeredLocationFlag": "NO",
        "msrbSupervisoryJurisdictionFlag": "YES",
        "branchTypeCode": "JOINT",
        "branchBillingCode": "LSQ3QSVGFK",
        "branchScheduleENumber": "44RON9ZZ",
        "privateResidenceFlag": "NO",
        "brokerDealerMainOfficeFlag": "NO",
        "contractToOperateFlag": "NO",
        "branchAddress": {
            "cityName": "Columbia",
            "stateCode": "GA"
        },
        "operationalStatusCode": "Active",
        "firmCrdNumber": 3000005,
        "branchCode": "UPNUERTU",
        "officeOfSupervisoryJurisdictionFlag": "NO",
        "otherRecordLocationsFlag": "NO",
        "investmentAdviserMainOfficeFlag": "NO",
        "branchCrdNumber": null
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/branchOfficeMock

 

Sample Request Payload
{
"limit":5,
"fields":["branchDeficiencyStatusCode","branchTypeCode","brokerDealerMainOfficeFlag","supervisingBranches.branchCrdNumber"],
"compareFilters": [ 
{"compareType": "equal", "fieldName": "investmentAdviserMainOfficeFlag", "fieldValue": "YES" }
]
}
 

 

Sample Response
[
    {
        "branchDeficiencyStatusCode": "Clear",
        "branchTypeCode": "IA ONLY",
        "brokerDealerMainOfficeFlag": "NO",
        "supervisingBranches": [
            {
                "branchCrdNumber": 1631868154736462764
            }
        ]
    },
    {
        "branchDeficiencyStatusCode": "Clear",
        "branchTypeCode": "JOINT",
        "brokerDealerMainOfficeFlag": "NO"
    },
    {
        "branchDeficiencyStatusCode": "Clear",
        "branchTypeCode": "JOINT",
        "brokerDealerMainOfficeFlag": "NO",
        "supervisingBranches": [
            {
                "branchCrdNumber": -7683619162827536869
            }
        ]
    },
    {
        "branchDeficiencyStatusCode": "Clear",
        "branchTypeCode": "JOINT",
        "brokerDealerMainOfficeFlag": "NO",
        "supervisingBranches": [
            {
                "branchCrdNumber": -3027219148742801724
            }
        ]
    },
    {
        "branchDeficiencyStatusCode": "Clear",
        "branchTypeCode": "IA ONLY",
        "brokerDealerMainOfficeFlag": "NO",
        "supervisingBranches": [
            {
                "branchCrdNumber": -22787229865626068
            }
        ]
    }
]

 

Branch Office Associated Individuals

Deprecated

List of individuals associated with a specific branch identified by a branch CRD number.

Dataset Info:

groupdatasettest dataset
firmbranchOfficeAssociatedIndividualsbranchOfficeAssociatedIndividualsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/branchOfficeAssociatedIndividualsMock?limit=5

 

Sample Response
[
    {
        "branchAddress": {
            "stateCode": "MO"
        },
        "firmCrdNumber": 3000005,
        "individuals": [
            {
                "firstName": "Collen",
                "lastName": "Tordoya",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 74379799,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Fry",
                "lastName": "Best",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 11364198,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Jump",
                "lastName": "Asenova",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "YES",
                "individualCrdNumber": 81722121,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            }
        ],
        "branchCrdNumber": null
    },
    {
        "branchAddress": {
            "stateCode": "MS"
        },
        "firmCrdNumber": 3000005,
        "individuals": [
            {
                "firstName": "Lorimer",
                "lastName": "Vila",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 84962044,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Gussy",
                "lastName": "Heredero",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 25181016,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Rodney",
                "lastName": "Alameda",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 82009296,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            }
        ],
        "branchCrdNumber": 50002
    },
    {
        "branchAddress": {
            "stateCode": "CA"
        },
        "firmCrdNumber": 3000005,
        "individuals": [
            {
                "firstName": "Paymar",
                "lastName": "Angelov",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 48077155,
                "isActive": null,
                "officeLocationRoleText": "SUPERVISOR",
                "officeLocationType": "SUPERVISED FROM"
            },
            {
                "firstName": "Salbu",
                "lastName": "Piñana",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 50696496,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Ber",
                "lastName": "Bensaad",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 22351559,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            }
        ],
        "branchCrdNumber": null
    },
    {
        "branchAddress": {
            "stateCode": "MO"
        },
        "firmCrdNumber": 3000005,
        "individuals": [
            {
                "firstName": "Walters",
                "lastName": "Benjumea",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 62904385,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Rawdon",
                "lastName": "Condo",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 91287158,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Aramanta",
                "lastName": "Campomanes",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 31672374,
                "isActive": null,
                "officeLocationRoleText": "SUPERVISOR",
                "officeLocationType": "SUPERVISED FROM"
            }
        ],
        "branchCrdNumber": 50003
    },
    {
        "branchAddress": {
            "stateCode": "GA"
        },
        "firmCrdNumber": 3000005,
        "individuals": [
            {
                "firstName": "Coleen",
                "lastName": "Mirabent",
                "independentContractorFlag": "YES",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 6660256,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Jervis",
                "lastName": "Aharrar",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 40219009,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Jamilla",
                "lastName": "Millon",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "YES",
                "statutoryDisqualificationFlag": "YES",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "YES",
                "individualCrdNumber": 86012451,
                "isActive": null,
                "officeLocationRoleText": "PERSON-IN-CHARGE",
                "officeLocationType": "SUPERVISED FROM"
            }
        ],
        "branchCrdNumber": null
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/branchOfficeAssociatedIndividualsMock

 

Sample Request Payload
{
"limit":5,
"compareFilters": [ 
{"compareType": "equal", "fieldName": "branchAddress.stateCode", "fieldValue": "CA" }
]
}
 

 

Sample Response
[
    {
        "branchAddress": {
            "stateCode": "CA"
        },
        "firmCrdNumber": 3000005,
        "individuals": [
            {
                "firstName": "Paymar",
                "lastName": "Angelov",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 48077155,
                "isActive": null,
                "officeLocationRoleText": "SUPERVISOR",
                "officeLocationType": "SUPERVISED FROM"
            },
            {
                "firstName": "Salbu",
                "lastName": "Piñana",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 50696496,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Ber",
                "lastName": "Bensaad",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 22351559,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            }
        ],
        "branchCrdNumber": null
    },
    {
        "branchAddress": {
            "stateCode": "CA"
        },
        "firmCrdNumber": 3000005,
        "individuals": [
            {
                "firstName": "Wardle",
                "lastName": "Ene",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "YES",
                "individualCrdNumber": 95836799,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Westbrooke",
                "lastName": "Beamonte",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 89282213,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Ardeen",
                "lastName": "Artidiello",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 56912307,
                "isActive": null,
                "officeLocationRoleText": "SUPERVISOR",
                "officeLocationType": "SUPERVISED FROM"
            }
        ],
        "branchCrdNumber": 50043
    },
    {
        "branchAddress": {
            "stateCode": "CA"
        },
        "firmCrdNumber": 3000005,
        "individuals": [
            {
                "firstName": "Viafore",
                "lastName": "Canduela",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 7528065,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Grevera",
                "lastName": "Endara",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 12755014,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Yetac",
                "lastName": "Penichet",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 87005134,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            }
        ],
        "branchCrdNumber": 50075
    },
    {
        "branchAddress": {
            "stateCode": "CA"
        },
        "firmCrdNumber": 3000005,
        "individuals": [
            {
                "firstName": "Clymer",
                "lastName": "Sangare",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 72317031,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Lucienne",
                "lastName": "Solabarrieta",
                "independentContractorFlag": "YES",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 79538750,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Anestassia",
                "lastName": "Valdecantos",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 63126667,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            }
        ],
        "branchCrdNumber": 50120
    },
    {
        "branchAddress": {
            "stateCode": "CA"
        },
        "firmCrdNumber": 3000005,
        "individuals": [
            {
                "firstName": "Isolda",
                "lastName": "Terres",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 40597637,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Huntingdon",
                "lastName": "Alayeto",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 59126195,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            },
            {
                "firstName": "Jerusalem",
                "lastName": "Napoles",
                "independentContractorFlag": "NO",
                "archiveDisclosuresFlag": "NO",
                "statutoryDisqualificationFlag": "NO",
                "suffixName": null,
                "middleName": null,
                "currentDisclosuresFlag": "NO",
                "individualCrdNumber": 85334315,
                "isActive": null,
                "officeLocationRoleText": "STAFF",
                "officeLocationType": "LOCATED AT"
            }
        ],
        "branchCrdNumber": null
    }
]

 

Branch Office Details

Deprecated

Detailed information about each branch associated with a firm.

Dataset Info:

groupdatasettest dataset
firmbranchOfficeDetailsbranchOfficeDetailsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/branchOfficeDetailsMock?limit=5

 

Sample Response
[
    {
        "branchFaxNumber": "(456) 144-0497",
        "sharesSpaceWithFlag": "NO",
        "financialInterestDetails": "CREDIT UNION IS RESPONSIBLE FOR ALL EXPENSES ASSOCIATED WITH MARKETING THE PROGRAM",
        "branchAddress": {
            "stateCode": "MO"
        },
        "othersResponsibleForExpenseFlag": "NO",
        "firmCrdNumber": 3000005,
        "branchTelephoneNumber": "(138) 723-4638",
        "branchCrdNumber": null,
        "responsibleForEmploymentsFlag": "YES",
        "branchFinraDistrict": "6-Dallas",
        "branchRegistrationNoticeStatusType": null,
        "postDatedCloseDate": null
    },
    {
        "branchFaxNumber": "(990) 401-5552",
        "sharesSpaceWithFlag": "NO",
        "financialInterestDetails": "ASSOCIATE PERSON HAS 100% INTEREST IN AND RESPONSIBILTIY FOR FINANCES OF APPROVED OUTSIDE BUSINESS ACTIVIITES CONDUCTED AT THIS LOCATION.",
        "branchAddress": {
            "stateCode": "MS"
        },
        "othersResponsibleForExpenseFlag": "YES",
        "firmCrdNumber": 3000005,
        "branchTelephoneNumber": "(114) 515-4146",
        "branchCrdNumber": 50002,
        "responsibleForEmploymentsFlag": "NO",
        "branchFinraDistrict": "11-Boston",
        "branchRegistrationNoticeStatusType": null,
        "postDatedCloseDate": null
    },
    {
        "branchFaxNumber": "(733) 112-5491",
        "sharesSpaceWithFlag": "NO",
        "financialInterestDetails": "REPRESENTATIVE IS RESPONSIBLE FOR THE EXPENSES OF THE BRANCH OFFICE.",
        "branchAddress": {
            "stateCode": "CA"
        },
        "othersResponsibleForExpenseFlag": "YES",
        "firmCrdNumber": 3000005,
        "branchTelephoneNumber": "(539) 776-0061",
        "branchCrdNumber": null,
        "responsibleForEmploymentsFlag": "NO",
        "branchFinraDistrict": "Florida",
        "branchRegistrationNoticeStatusType": null,
        "postDatedCloseDate": "2019-12-16"
    },
    {
        "branchFaxNumber": "(762) 235-9764",
        "sharesSpaceWithFlag": "NO",
        "financialInterestDetails": "LIBERTY BANK IS RESPONSIBLE FOR PAYING ALL EXPENSES AT THIS LOCATION.",
        "branchAddress": {
            "stateCode": "MO"
        },
        "othersResponsibleForExpenseFlag": "NO",
        "firmCrdNumber": 3000005,
        "branchTelephoneNumber": "(090) 657-2750",
        "branchCrdNumber": 50003,
        "responsibleForEmploymentsFlag": "NO",
        "branchFinraDistrict": "10-New York",
        "branchRegistrationNoticeStatusType": null,
        "postDatedCloseDate": null
    },
    {
        "branchFaxNumber": "(949) 792-8748",
        "sharesSpaceWithFlag": "NO",
        "financialInterestDetails": "REP PAYS ALL EXPENSES FOR THE BRANCH OFFICE.",
        "branchAddress": {
            "stateCode": "GA"
        },
        "othersResponsibleForExpenseFlag": "NO",
        "firmCrdNumber": 3000005,
        "branchTelephoneNumber": "(367) 931-5438",
        "branchCrdNumber": null,
        "responsibleForEmploymentsFlag": "YES",
        "branchFinraDistrict": "2-Los Angeles",
        "branchRegistrationNoticeStatusType": null,
        "postDatedCloseDate": null
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/branchOfficeDetailsMock

 

Sample Request Payload
{
"limit":5,
"fields":["branchFaxNumber","financialInterestDetails","firmCrdNumber","branchFinraDistrict"],
"compareFilters": [ 
{"compareType": "equal", "fieldName": "responsibleForEmploymentsFlag", "fieldValue": "YES" }
]
}
 

 

Sample Response
[
    {
        "branchFaxNumber": "(456) 144-0497",
        "financialInterestDetails": "CREDIT UNION IS RESPONSIBLE FOR ALL EXPENSES ASSOCIATED WITH MARKETING THE PROGRAM",
        "firmCrdNumber": 3000005,
        "branchFinraDistrict": "6-Dallas"
    },
    {
        "branchFaxNumber": "(949) 792-8748",
        "financialInterestDetails": "REP PAYS ALL EXPENSES FOR THE BRANCH OFFICE.",
        "firmCrdNumber": 3000005,
        "branchFinraDistrict": "2-Los Angeles"
    },
    {
        "branchFaxNumber": "(892) 722-3095",
        "financialInterestDetails": "CHUN HA PAYS EXPENSES",
        "firmCrdNumber": 3000005,
        "branchFinraDistrict": "TFCE FinOp"
    },
    {
        "branchFaxNumber": "(990) 211-6679",
        "financialInterestDetails": "RESPONSIBLE FOR ALL OFFICE EXPENSES INCLUDING:  RENT, TELEPHONE, INTERNET, OFFICE SUPPLIES AND OTHER CUSTOMARY EXPENSES.",
        "firmCrdNumber": 3000005,
        "branchFinraDistrict": "9-districts of Columbia"
    },
    {
        "branchFaxNumber": "(271) 935-2791",
        "financialInterestDetails": "RONALD BARTLETT IS RESPONSIBLE FOR ALL EXPENSES PERTAINING TO THIS BRANCH OFFICE.",
        "firmCrdNumber": 3000005,
        "branchFinraDistrict": "ROOR Unit 3"
    }
]

 

Branch Office Financial Activities

Deprecated

Financial activities conducted at each branch associated with a firm.

Dataset Info:

groupdatasettest dataset
firmbranchOfficeFinancialActivitiesbranchOfficeFinancialActivitiesMock

 

Sample Request
https://api.finra.org/data/group/firm/name/branchOfficeFinancialActivitiesMock?limit=5

 

Sample Response
[
    {
        "branchAddress": {
            "stateCode": "MO"
        },
        "firmCrdNumber": 3000005,
        "financialActivities": [
            {
                "activityTypeName": "Investment Banking/Underwriting",
                "activityTypeCode": "NVSMT_BANK_UNDRW"
            },
            {
                "activityTypeName": "Investment Advisory Services",
                "activityTypeCode": "NVSMT_ADVSR"
            },
            {
                "activityTypeName": "Investment Banking",
                "activityTypeCode": "NVSMT_BANK"
            },
            {
                "activityTypeName": "Sales - Institutional",
                "activityTypeCode": "SALES_INSTL"
            },
            {
                "activityTypeName": "Sales",
                "activityTypeCode": "SALES"
            }
        ],
        "branchCrdNumber": null
    },
    {
        "branchAddress": {
            "stateCode": "MS"
        },
        "firmCrdNumber": 3000005,
        "financialActivities": [
            {
                "activityTypeName": "Underwriting",
                "activityTypeCode": "UNDRW"
            },
            {
                "activityTypeName": "Investment Advisory Services",
                "activityTypeCode": "NVSMT_ADVSR"
            },
            {
                "activityTypeName": "Sales - Retail",
                "activityTypeCode": "SALES_RTL"
            }
        ],
        "branchCrdNumber": 50002
    },
    {
        "branchAddress": {
            "stateCode": "CA"
        },
        "firmCrdNumber": 3000005,
        "financialActivities": [
            {
                "activityTypeName": "Investment Advisory Services",
                "activityTypeCode": "NVSMT_ADVSR"
            },
            {
                "activityTypeName": "Back Office Operations",
                "activityTypeCode": "BCK_OFC"
            },
            {
                "activityTypeName": "Sales - Institutional",
                "activityTypeCode": "SALES_INSTL"
            },
            {
                "activityTypeName": "Sales",
                "activityTypeCode": "SALES"
            }
        ],
        "branchCrdNumber": null
    },
    {
        "branchAddress": {
            "stateCode": "MO"
        },
        "firmCrdNumber": 3000005,
        "financialActivities": [
            {
                "activityTypeName": "Other",
                "activityTypeCode": "OTHER"
            },
            {
                "activityTypeName": "Investment Advisory Services",
                "activityTypeCode": "NVSMT_ADVSR"
            },
            {
                "activityTypeName": "Public Finance",
                "activityTypeCode": "PBLC_FNNC"
            },
            {
                "activityTypeName": "Sales - Institutional",
                "activityTypeCode": "SALES_INSTL"
            }
        ],
        "branchCrdNumber": 50003
    },
    {
        "branchAddress": {
            "stateCode": "GA"
        },
        "firmCrdNumber": 3000005,
        "financialActivities": [
            {
                "activityTypeName": "Other",
                "activityTypeCode": "OTHER"
            },
            {
                "activityTypeName": "Underwriting",
                "activityTypeCode": "UNDRW"
            },
            {
                "activityTypeName": "Sales - Retail",
                "activityTypeCode": "SALES_RTL"
            },
            {
                "activityTypeName": "Back Office Operations",
                "activityTypeCode": "BCK_OFC"
            },
            {
                "activityTypeName": "Research",
                "activityTypeCode": "RSRCH"
            }
        ],
        "branchCrdNumber": null
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/branchOfficeFinancialActivitiesMock

 

Sample Request Payload
{
"limit":5,
"compareFilters": [ 
{"compareType": "equal", "fieldName": "financialActivities.activityTypeCode", "fieldValue": "SALES" }
]
}
 

 

Sample Response
[
    {
        "branchAddress": {
            "stateCode": "MO"
        },
        "firmCrdNumber": 3000005,
        "financialActivities": [
            {
                "activityTypeName": "Sales",
                "activityTypeCode": "SALES"
            }
        ],
        "branchCrdNumber": null
    },
    {
        "branchAddress": {
            "stateCode": "CA"
        },
        "firmCrdNumber": 3000005,
        "financialActivities": [
            {
                "activityTypeName": "Sales",
                "activityTypeCode": "SALES"
            }
        ],
        "branchCrdNumber": null
    },
    {
        "branchAddress": {
            "stateCode": "KY"
        },
        "firmCrdNumber": 3000005,
        "financialActivities": [
            {
                "activityTypeName": "Sales",
                "activityTypeCode": "SALES"
            }
        ],
        "branchCrdNumber": null
    },
    {
        "branchAddress": {
            "stateCode": "WV"
        },
        "firmCrdNumber": 3000005,
        "financialActivities": [
            {
                "activityTypeName": "Sales",
                "activityTypeCode": "SALES"
            }
        ],
        "branchCrdNumber": null
    },
    {
        "branchAddress": {
            "stateCode": "VT"
        },
        "firmCrdNumber": 3000005,
        "financialActivities": [
            {
                "activityTypeName": "Sales",
                "activityTypeCode": "SALES"
            }
        ],
        "branchCrdNumber": null
    }
]

 

Branch Office Locations

Deprecated

Location information for each branch associated with a firm.

Dataset Info:

groupdatasettest dataset
firmbranchOfficeLocationsbranchOfficeLocationsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/branchOfficeLocationsMock?limit=5

 

Sample Response
[
    {
        "branchAddress": {
            "cityName": "Alexandria",
            "stateName": "Missouri",
            "countryCode": "USA",
            "postalCode": "78522",
            "addressLine1": "3686 Annett",
            "addressLine2": null,
            "stateCode": "MO",
            "countryName": "United States of America"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": null
    },
    {
        "branchAddress": {
            "cityName": "Normal",
            "stateName": "Mississippi",
            "countryCode": "USA",
            "postalCode": "20049",
            "addressLine1": "7027 Berkenshire",
            "addressLine2": null,
            "stateCode": "MS",
            "countryName": "United States of America"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": 50002
    },
    {
        "branchAddress": {
            "cityName": "Lewisville",
            "stateName": "California",
            "countryCode": "USA",
            "postalCode": "49622",
            "addressLine1": "9532 British Colony",
            "addressLine2": "APT 1554",
            "stateCode": "CA",
            "countryName": "United States of America"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": null
    },
    {
        "branchAddress": {
            "cityName": "Milwaukee",
            "stateName": "Missouri",
            "countryCode": "USA",
            "postalCode": "46889",
            "addressLine1": "3299 Loren",
            "addressLine2": null,
            "stateCode": "MO",
            "countryName": "United States of America"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": 50003
    },
    {
        "branchAddress": {
            "cityName": "Columbia",
            "stateName": "Georgia",
            "countryCode": "USA",
            "postalCode": "82940",
            "addressLine1": "377 Drew Lake",
            "addressLine2": null,
            "stateCode": "GA",
            "countryName": "United States of America"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": null
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/branchOfficeLocationsMock

 

Sample Request Payload
{
"limit":5,
"fields":["branchCrdNumber","branchAddress.addressLine1","branchAddress.addressLine2","branchAddress.cityName","branchAddress.postalCode"],
"compareFilters": [ 
{"compareType": "equal", "fieldName": "branchAddress.stateCode", "fieldValue": "CA" }
]
}
 

 

Sample Response
[
    {
        "branchAddress": {
            "cityName": "Lewisville",
            "postalCode": "49622",
            "addressLine1": "9532 British Colony",
            "addressLine2": "APT 1554"
        },
        "branchCrdNumber": null
    },
    {
        "branchAddress": {
            "cityName": "Youngstown",
            "postalCode": "15578",
            "addressLine1": "7599 Case",
            "addressLine2": "APT 840"
        },
        "branchCrdNumber": 50043
    },
    {
        "branchAddress": {
            "cityName": "Evansville",
            "postalCode": "48786",
            "addressLine1": "820 Stanhope Park",
            "addressLine2": "APT 1393"
        },
        "branchCrdNumber": 50075
    },
    {
        "branchAddress": {
            "cityName": "Concord",
            "postalCode": "46281",
            "addressLine1": "7660 S Major"
        },
        "branchCrdNumber": 50120
    },
    {
        "branchAddress": {
            "cityName": "Newport News",
            "postalCode": "65525",
            "addressLine1": "6341 Broad Brook"
        },
        "branchCrdNumber": null
    }
]

 

Branch Office Registrations

Deprecated

Registration information for each branch.

Dataset Info:

groupdatasettest dataset
firmbranchOfficeRegistrationsbranchOfficeRegistrationsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/branchOfficeRegistrationsMock?limit=5

 

Sample Response
[
    {
        "registrations": [
            {
                "isCurrent": "YES",
                "jurisdiction": "UoZQPUzHuW",
                "effectiveDate": "1992-04-23",
                "statusCode": "closed"
            }
        ],
        "branchAddress": {
            "stateCode": "MO"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": null
    },
    {
        "registrations": [
            {
                "isCurrent": "NO",
                "jurisdiction": "yNAINZlgGc",
                "effectiveDate": "2000-05-24",
                "statusCode": "open"
            }
        ],
        "branchAddress": {
            "stateCode": "MS"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": 50002
    },
    {
        "branchAddress": {
            "stateCode": "CA"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": null
    },
    {
        "registrations": [
            {
                "isCurrent": "YES",
                "jurisdiction": "ESEoQpKskl",
                "effectiveDate": "2005-02-02",
                "statusCode": "closed"
            }
        ],
        "branchAddress": {
            "stateCode": "MO"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": 50003
    },
    {
        "branchAddress": {
            "stateCode": "GA"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": null
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/branchOfficeRegistrationsMock

 

Sample Request Payload
{
"limit":5,
"compareFilters": [ 
{"compareType": "equal", "fieldName": "registrations.isCurrent", "fieldValue": "YES" }
]
}
 

 

Sample Response
[
    {
        "registrations": [
            {
                "isCurrent": "YES",
                "jurisdiction": "UoZQPUzHuW",
                "effectiveDate": "1992-04-23",
                "statusCode": "closed"
            }
        ],
        "branchAddress": {
            "stateCode": "MO"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": null
    },
    {
        "registrations": [
            {
                "isCurrent": "YES",
                "jurisdiction": "ESEoQpKskl",
                "effectiveDate": "2005-02-02",
                "statusCode": "closed"
            }
        ],
        "branchAddress": {
            "stateCode": "MO"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": 50003
    },
    {
        "registrations": [
            {
                "isCurrent": "YES",
                "jurisdiction": "esPwbpMCpL",
                "effectiveDate": "1979-02-08",
                "statusCode": "closed"
            }
        ],
        "branchAddress": {
            "stateCode": "MN"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": 50005
    },
    {
        "registrations": [
            {
                "isCurrent": "YES",
                "jurisdiction": "sFVrxdobaU",
                "effectiveDate": "2014-12-08",
                "statusCode": "approved"
            }
        ],
        "branchAddress": {
            "stateCode": "MI"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": 50006
    },
    {
        "registrations": [
            {
                "isCurrent": "YES",
                "jurisdiction": "pyKDcVIYfF",
                "effectiveDate": "2007-12-01",
                "statusCode": "approved"
            }
        ],
        "branchAddress": {
            "stateCode": "MT"
        },
        "firmCrdNumber": 3000005,
        "branchCrdNumber": null
    }
]

 

Composite Branch

Provides comprehensive real-time data that FINRA has for a given Branch CRD. 

Dataset Info:

groupdatasetmock dataset
registrationcompositeBranchcompositeBranchMock

 

Terms of Service

The specific Terms of Service for the Registration datasets are included by reference in the FINRA API Terms of Service.

The Composite Branch dataset offers comprehensive information about a firm's branch based on the Branch CRD Number. The dataset includes registration records of the branch associated with the requesting firm, along with information about branches which have been inactivated in the last 30 days. 

  1. The dataset encompasses fields covered in following WebEFT reports. The mapping between Composite Branch fields and webeft report fields is included in the Composite Branch schema.
    1. Branch Information Report
    2. Post Branch Deficiencies Report 
    3. Post Branch Individual Report
    4. Post Branch Status Report
  2. The dataset supports only synchronous calls.
  3. Available parameters for the dataset are 
     

    ParameterRequiredExample
    branchCRDNumberYes12345


 

Sample Request
https://api.finra.org/data/group/registration/name/compositebranchmock?branchCrdNumber=12345

 

Sample Response
  {
    "branchCrdNumber": 12345,
    "id": "f8c3de3d-1fea-4d7c-a8b0-29f63c4c3454",
    "identifyingInformation": {
        "firmBillingCode": "44Q17",
        "phoneNumber": "0",
        "isOfficeOfSupervisoryJurisdiction": false,
        "district": {
            "code": "11BO"
        },
        "businessTypeCode": [
            "BROKERDEALER"
        ]
    },
    "location": {
        "isPrivateResidence": false,
        "address": {
            "line1": "111 MAIN ROAD",
            "city": "ZAINSVILLE",
            "stateCode": "CT",
            "postalCode": "06333",
            "country": {
                "code": "USA"
            }
        }
    },
    "status": {
        "date": "2011-03-03",
        "code": "ACTV",
        "contact": {
            "name": {}
        }
    },
    "financialActivity": {
        "codes": [
            "SALES",
            "SALESRETAIL"
        ]
    },
    "otherBusiness": {
        "hasActivities": true,
        "hasNames": true,
        "hasWebsites": true,
        "activities": [
            {
                "id": "f8c3de3d-1fab-4d7c-a8b0-29f63c4c3454",
                "instanceNumber": 187449,
                "name": "ROCK FINANCIAL SERVICES",
                "detailText": "INVESTMENT ADVISORY SERVICES",
                "isOnBehalfOfAffiliate": true
            }
        ],
        "names": [
            {
                "id": "f8c3de5c-1fea-4d7c-a8b0-29f63c4c3454",
                "instanceNumber": 133405,
                "name": "NEW BANK INVESTMENT SERVICES"
            }
        ],
        "websites": [
            {
                "id": "f8c3de5d-1fea-4e7c-a8b0-29f63c4c3454",
                "url": "WWW.TEST.COM",
                "instanceNumber": 72125
            }
        ]
    },
    "arrangements": {
        "hasSharedSpaceWithOtherFirms": true,
        "hasContracts": true,
        "hasExpensesOrFinancialInterest": true,
        "sharedSpaceEntities": [
            {
                "id": "f8c3de3d-1fea-4d7c-a8b0-29f63e5e3454",
                "firmName": "TEST BANK",
                "typeCode": [
                    "BANK"
                ],
                "instanceNumber": 163923,
                "isAffiliate": false
            }
        ],
        "contracts": [
            {
                "id": "f8c3de3d-1fea-4d7c-b9b0-29f63c4c3454",
                "name": "ROCK FINANCIAL SERVICES, INC.",
                "typeCode": "FIRM",
                "instanceNumber": 159879,
                "firmCrdNumber": 6111
            }
        ],
        "expensesOrFinancialInterest": {
            "explanationText": "ROCK BANK IS RESPONSIBLE FOR PAYING ALL EXPENSES AT THIS LOCATION.",
            "entities": [
                {
                    "id": "f8c3de3d-1fea-4d7c-a8b0-45f63c4c3454",
                    "instanceNumber": 217772,
                    "isRegistered": false,
                    "typeCode": "FIRM",
                    "individualCrdNumber": 123,
                    "einIdentifier": "XXXXXXXXX",
                    "name": "ROCK BANK"
                }
            ]
        }
    },
    "records": {
        "hasOtherRecordLocations": false,
        "recordLocations": [
            {
                "id": "f8c3dg5h-1fea-4d7c-a8b0-29f63c4c3454",
                "instanceNumber": 163937,
                "contact": {
                    "phoneNumber": "6169879220",
                    "emailAddress": "[email protected]",
                    "name": {
                        "firstName": "Rachel",
                        "lastName": "Green"
                    }
                },
                "address": {
                    "line1": "16500 Space Center Blvd",
                    "line2": "Apt 307",
                    "city": "Houston",
                    "stateCode": "TX",
                    "postalCode": "77062",
                    "country": {
                        "code": "USA",
                        "name": "United States"
                    }
                }
            }
        ]
    },
    "registrations": [
        {
            "id": "g9c3de3d-1fea-4d7c-a8b0-29f63c4c3454",
            "instanceNumber": 511020,
            "regulatorIdentifier": 50015,
            "typeCode": "RGSTN",
            "status": {
                "code": "APRVD",
                "date": "2011-03-03",
                "reasonText": "BD BRANCH APPROVAL 03/04/2011"
            },
            "deficiencies": [
                {
                    "id": "g9c3de3d-1fea-4d7c-a8b0-28g63c4c3454",
                    "instanceNumber": 511020,
                    "typeCode": "PNDNGFIRM",
                    "deficiencyDate": "2023-04-03"
                }
            ],
            "clearedDeficiencies": [
                {
                    "id": "g9c3dc5d-1fea-4d7c-a8b0-28g63c4c3454",
                    "instanceNumber": 511033,
                    "typeCode": "PNDNGFIRM",
                    "deficiencyDate": "2023-08-03"
                }
            ]
        },
        {
            "id": "g9c3de3d-1fea-4d7d-a8b0-29f63c4c3454",
            "instanceNumber": 511019,
            "regulatorIdentifier": 1,
            "typeCode": "NTCFLNG",
            "status": {
                "code": "OPEN",
                "date": "2011-03-03"
            },
            "deficiencies": [
                {
                    "id": "g9c3de3d-1fcd-4d7c-a8b0-28g63c4c3454",
                    "instanceNumber": 511045,
                    "typeCode": "PNDNGFIRM",
                    "deficiencyDate": "2023-04-03"
                }
            ],
            "clearedDeficiencies": [
                {
                    "id": "g9c3dc5d-1fef-4d7c-a8b0-28g63c4c3454",
                    "instanceNumber": 511047,
                    "typeCode": "PNDNGFIRM",
                    "deficiencyDate": "2023-08-03"
                }
            ]
        }
    ],
    "deficiencies": [
        {
            "instanceNumber": 217773,
            "regulatorIdentifier": 217789,
            "individualCrdNumber": 217890,
            "id": "f9c3de3d-1fea-4d7c-a8b0-29f63e5c3454",
            "typeCode": "PNDNGFIRM",
            "deficiencyDate": "2015-04-29",
            "officeOfSupervisoryJurisdiction": {
                "branchCrdNumber": 7637289
            }
        }
    ],
    "clearedDeficiencies": [
        {
            "instanceNumber": 601145,
            "regulatorIdentifier": 1,
            "individualCrdNumber": 112334,
            "id": "f9c3de3d-1fea-3d5f-a8b0-29f63e5c3454",
            "typeCode": "OSJNOSPRVEMPLT",
            "deficiencyDate": "2015-04-29",
            "officeOfSupervisoryJurisdiction": {
                "branchCrdNumber": 91119
            },
            "clearDate": "2015-05-04"
        },
        {
            "instanceNumber": 601147,
            "regulatorIdentifier": 1,
            "typeCode": "FINRAPRNCPLOSJSPRVQL",
            "deficiencyDate": "2015-04-29",
            "officeOfSupervisoryJurisdiction": {
                "branchCrdNumber": 91119
            },
            "clearDate": "2015-05-04"
        },
        {
            "instanceNumber": 601146,
            "regulatorIdentifier": 1,
            "typeCode": "OSJNOSPRV",
            "deficiencyDate": "2015-04-29",
            "officeOfSupervisoryJurisdiction": {
                "branchCrdNumber": 91119
            },
            "clearDate": "2015-05-04"
        },
        {
            "instanceNumber": 601229,
            "typeCode": "NOSPRVPIC",
            "deficiencyDate": "2015-04-29",
            "officeOfSupervisoryJurisdiction": {},
            "clearDate": "2015-05-04"
        },
        {
            "instanceNumber": 947122,
            "regulatorIdentifier": 1,
            "typeCode": "OSJNOSPRV",
            "deficiencyDate": "2019-01-25",
            "officeOfSupervisoryJurisdiction": {
                "branchCrdNumber": 91119
            },
            "clearDate": "2019-01-28"
        },
        {
            "instanceNumber": 947123,
            "regulatorIdentifier": 1,
            "typeCode": "FINRAPRNCPLOSJSPRVQL",
            "deficiencyDate": "2019-01-25",
            "officeOfSupervisoryJurisdiction": {
                "branchCrdNumber": 91119
            },
            "clearDate": "2019-01-28"
        },
        {
            "instanceNumber": 947121,
            "regulatorIdentifier": 1,
            "individualCrdNumber": 1874,
            "typeCode": "OSJNOSPRVEMPLT",
            "deficiencyDate": "2019-01-25",
            "officeOfSupervisoryJurisdiction": {
                "branchCrdNumber": 91119
            },
            "clearDate": "2019-01-28"
        }
    ],
    "individuals": [
        {
            "instanceNumber": "78292",
            "individualCrdNumber": 2539627,
            "role": {
                "code": "OSJSUPERVISOR"
            },
            "activityText": "activity Text for branch individuals",
            "officeOfSupervisoryJurisdiction": [
                {
                    "activityText": "activity Text",
                    "firmBillingCode": "275",
                    "branchCrdNumber": 782971
                }
            ]
        }
    ]
}

Composite Individual

Delivers comprehensive real-time data that FINRA has for a given Individual CRD number. 

Dataset Info:

groupdatasettest dataset
registrationcompositeIndividualcompositeIndividualMock

 

Terms Of Service

The specific Terms of Service for the Registration datasets are included by reference in the FINRA API Terms of Service.

The Composite Individual dataset offers comprehensive information about an individual based on their Individual CRD Number. The dataset includes registration records of the individual associated with the requesting firm, along with information about individuals who have left the firm in the last 30 days. 

  1. The dataset encompasses fields covered in following WebEFT reports. 
    1. Individual Information Report
    2. Post Annual Continuing Education Report
    3. Post Investment Adviser Continuing Education Report
    4. Post Enrollments Report
    5. Post Exams Report
    6. Post Pending Report
    7. Post Termination Report
    8. Post Deficiency Report
    9. Post Approval Report
  2. Schema for the dataset is here.
  3. The dataset supports synchronous calls.
  4. Available parameters for the dataset are

    ParameterRequiredExampleNote
    individualCRDNumberYes12345 
    filtersNoAnnualContinuingEducation
    AnnualContinuingEducation,events
    Each API call can support one or more filters at once
  5. Following filters are available for the dataset.
     

    Composite Individual Dataset FiltersDescriptionWebEFT IIR section
    AnnualContinuingEducationAnnual CECEInformation
    InvestmentAdviserContinuingEducationIA CECEInformation
    occurrencesDisclosure OccurrencesReportableDisclosureInformation
    NonReportableDisclosureInformation
    eventsFiling EventsFilingHistory
    examsExam HistoryExamInformation
    ExamWaiverInformation
    firmAssociationsFirm AssociationsFingerprintInformation
    RegistrationsByCurrentEmployment
    AffiliatedFirm
    OfficeOfEmploymentHistory
    individualIndividualOtherNames
    IdentifyingInformation
    ProfessionalDesignations
    ResidentialHistory
    EmploymentHistory
    OtherBusiness

 

Sample Request
https://api.finra.org/data/group/registration/name/compositeindividualmock?individualCrdNumber=12345

 

Sample Response
[
    {
        "occurrences": [
            {
                "reportableFlag": "Y",
                "occurrenceIdentifier": 2199959,
                "disclosures": [
                    {
                        "disclosureTypeCode": "JUDGEMNT",
                        "amendment": false,
                        "identifier": 85755,
                        "disclosureVersion": "05/2009",
                        "finraReceivedDate": "2022-04-26",
                        "questions": "14M",
                        "submittingFirmCrdNumber": 249,
                        "filingIdentifier": 5000410,
                        "judgementLien": {
                            "disclosureDiscoveredDateDetails": {
                                "date": "2022-04-21"
                            },
                            "courtDetails": {
                                "courtTypeCode": "STATE",
                                "courtName": "SUPREME COURT OF THE STATE OF NEW YORK",
                                "courtLocation": "MINEOLA, NY"
                            },
                            "disclosureEventPendingFlag": "Y",
                            "courtCaseNumberPIIFlag": "N",
                            "disclosureEventDateDetails": {
                                "date": "2022-04-11"
                            },
                            "disclosureEventTypeCode": "CIVIL",
                            "judgementLienOwedAmount": 395445.46,
                            "lienHolderName": "XYZ, INC."
                        }
                    }
                ],
                "discloseToPublicFlag": "Y"
            },
            {
                "reportableFlag": "N",
                "occurrenceIdentifier": 2014951,
                "disclosures": [
                    {
                        "disclosureTypeCode": "JUDGEMNT",
                        "amendment": false,
                        "identifier": 8038792,
                        "disclosureVersion": "05/2009",
                        "finraReceivedDate": "2019-01-30",
                        "questions": "14M",
                        "submittingFirmCrdNumber": 249,
                        "filingIdentifier": 50892905,
                        "judgementLien": {
                            "disclosureDiscoveredDateDetails": {
                                "date": "2019-01-25",
                                "dateExplanation": "FINRA INQUIRY LETTER"
                            },
                            "courtDetails": {
                                "courtTypeCode": "OTHER",
                                "courtName": "KMT GROUP LLC",
                                "courtLocation": "NASSAU COUNTY, NY",
                                "courtTypeOtherText": "KMT GROUP LLC"
                            },
                            "disclosureEventPendingFlag": "N",
                            "courtCaseNumberPIIFlag": "N",
                            "disclosureEventDateDetails": {
                                "date": "2009-11-25"
                            },
                            "dispositionTypeCode": "REMOVED",
                            "disclosureEventTypeCode": "CIVIL",
                            "judgementLienOwedAmount": 8231,
                            "lienHolderName": "KMT GROUP LLC",
                            "dispositionDateDetails": {
                                "date": "2010-08-10",
                                "dateExplanation": "FILED THROUGH CHAPTER 7 BANKRUPTCY FILING, CASE # 10-76287"
                            }
                        }
                    }
                ],
                "discloseToPublicFlag": "N"
            },
            {
                "reportableFlag": "N",
                "occurrenceIdentifier": 1826610,
                "disclosures": [
                    {
                        "disclosureTypeCode": "JUDGEMNT",
                        "amendment": false,
                        "identifier": 7841506,
                        "disclosureVersion": "05/2009",
                        "finraReceivedDate": "2015-09-21",
                        "questions": "14M",
                        "submittingFirmCrdNumber": 793,
                        "filingIdentifier": 41899188,
                        "judgementLien": {
                            "disclosureDiscoveredDateDetails": {
                                "date": "2008-11-23",
                                "dateExplanation": "not sure of the exact date"
                            },
                            "courtDetails": {
                                "courtTypeCode": "OTHER",
                                "courtName": "NY State Deparment of Taxation and Finance",
                                "courtLocation": "Albany,NY",
                                "courtTypeOtherText": "Recorder of Deeds"
                            },
                            "disclosureEventPendingFlag": "N",
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                        }
                    },
                    {
                        "beginDate": "2017-08-31",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "registrationCategoryCode": "GS",
                        "regulatorIdentifier": 50098,
                        "instanceNumber": 1,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "APPROVED"
                        }
                    },
                    {
                        "beginDate": "2017-08-31",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "registrationCategoryCode": "GS",
                        "regulatorIdentifier": 50102,
                        "instanceNumber": 1,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "APPROVED"
                        }
                    },
                    {
                        "beginDate": "2017-08-31",
                        "reviewMethod": {
                            "code": "ATMTC",
                            "reasonCode": "DSCLRAUTO"
                        },
                        "registrationCategoryCode": "SU",
                        "regulatorIdentifier": 1,
                        "instanceNumber": 1,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "APPROVED"
                        }
                    },
                    {
                        "beginDate": "2018-10-01",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "registrationCategoryCode": "SU",
                        "regulatorIdentifier": 50001,
                        "instanceNumber": 1,
                        "status": {
                            "code": "APPROVED"
                        }
                    },
                    {
                        "beginDate": "2017-08-31",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "registrationCategoryCode": "SU",
                        "regulatorIdentifier": 50003,
                        "instanceNumber": 1,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "APPROVED"
                        }
                    },
                    {
                        "beginDate": "2017-08-31",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "endDate": "2018-09-30",
                        "registrationCategoryCode": "SU",
                        "regulatorIdentifier": 50004,
                        "instanceNumber": 1,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "ADMTERM"
                        }
                    },
                    {
                        "beginDate": "2019-03-01",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "registrationCategoryCode": "SU",
                        "regulatorIdentifier": 50004,
                        "instanceNumber": 2,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "APPROVED"
                        }
                    },
                    {
                        "beginDate": "2018-10-01",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "registrationCategoryCode": "SU",
                        "regulatorIdentifier": 50006,
                        "instanceNumber": 1,
                        "status": {
                            "code": "APPROVED"
                        }
                    },
                    {
                        "beginDate": "2017-08-31",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "registrationCategoryCode": "SU",
                        "regulatorIdentifier": 50007,
                        "instanceNumber": 1,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "APPROVED"
                        }
                    },
                    {
                        "beginDate": "2017-08-31",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "registrationCategoryCode": "SU",
                        "regulatorIdentifier": 50008,
                        "instanceNumber": 1,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "APPROVED"
                        }
                    },
                    {
                        "beginDate": "2018-10-01",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "registrationCategoryCode": "SU",
                        "regulatorIdentifier": 50098,
                        "instanceNumber": 1,
                        "status": {
                            "code": "APPROVED"
                        }
                    },
                    {
                        "beginDate": "2017-08-31",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "registrationCategoryCode": "SU",
                        "regulatorIdentifier": 50102,
                        "instanceNumber": 1,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "APPROVED"
                        }
                    }
                ],
                "fingerprint": {
                    "cards": [
                        {
                            "identifier": 8269153,
                            "takenDate": "2017-08-31",
                            "areResultsProcessed": false,
                            "receivedDate": "2017-08-31",
                            "updateTimeStamp": "2017-08-31T11:21:45",
                            "barCode": "2540432083"
                        },
                        {
                            "identifier": 8270382,
                            "takenDate": "2017-08-31",
                            "areResultsProcessed": true,
                            "receivedDate": "2017-09-01",
                            "updateTimeStamp": "2017-09-06T09:44:38",
                            "barCode": "2540433076"
                        }
                    ],
                    "exemptionCodes": [],
                    "classification": "PRVD"
                },
                "firmName": "FINRA",
                "firmCrdNumber": 1,
                "locations": [
                    {
                        "address": {
                            "cityName": "JERICHO",
                            "countryCode": "USA",
                            "postalCode": "11753",
                            "addressLine1": "2 JERICHO PLAZA",
                            "addressLine2": "SUITE 113",
                            "stateCode": "NY"
                        },
                        "firmBillingCode": "D23",
                        "instanceNumber": 1,
                        "branchCrdNumber": 190607,
                        "startDate": "2017-08-29",
                        "isPrivateResidence": "N"
                    },
                    {
                        "address": {
                            "cityName": "DELRAY BEACH",
                            "countryCode": "USA",
                            "postalCode": "33446",
                            "addressLine1": "16226  CABERNET DRIVE",
                            "stateCode": "FL"
                        },
                        "endDate": "2021-11-29",
                        "firmBillingCode": "D23-2",
                        "instanceNumber": 1,
                        "branchCrdNumber": 769640,
                        "startDate": "2021-08-20",
                        "isPrivateResidence": "Y"
                    }
                ],
                "employeeBillingCode": "D23",
                "startDate": "2017-08-29"
            }
        ],
        "annualContinuingEducation": {
            "bdCeYearlyData": [
                {
                    "year": "2023",
                    "assignedCourses": [
                        {
                            "courseName": "Determining Fair Prices and Markups",
                            "dueDate": "2023-12-31",
                            "courseId": "RE2023-011",
                            "status": {
                                "code": "ASSIGNED",
                                "description": "Assigned"
                            }
                        },
                        {
                            "courseName": "Data Access Management",
                            "dueDate": "2023-12-31",
                            "courseId": "RE2023-002",
                            "status": {
                                "code": "ASSIGNED",
                                "description": "Assigned"
                            }
                        },
                        {
                            "courseName": "Information Protection",
                            "dueDate": "2023-12-31",
                            "courseId": "RE2023-003",
                            "status": {
                                "code": "ASSIGNED",
                                "description": "Assigned"
                            }
                        },
                        {
                            "courseName": "Navigating Regulation BI",
                            "dueDate": "2023-12-31",
                            "courseId": "RE2023-004",
                            "status": {
                                "code": "ASSIGNED",
                                "description": "Assigned"
                            }
                        }
                    ]
                }
            ],
            "status": {
                "code": "REQUIRED",
                "description": "Required",
                "timestamp": "2023-01-01T00:00:00"
            }
        },
        "investmentAdviserContinuingEducation": {
            "requirements": [
                {
                    "year": "2023",
                    "dueDate": "2023-12-31",
                    "ppEarnedCredits": 6,
                    "creditRequirements": [
                        {
                            "requiredCredits": 6,
                            "earnedCredits": 6,
                            "type": {
                                "code": "PP",
                                "description": "Products & Practice"
                            },
                            "status": {
                                "code": "COMPLETE",
                                "description": "Complete",
                                "timestamp": "2023-09-06T21:29:45.743"
                            }
                        },
                        {
                            "requiredCredits": 6,
                            "earnedCredits": 0,
                            "type": {
                                "code": "EPR",
                                "description": "Ethics & Professional Responsibility"
                            },
                            "status": {
                                "code": "INCOMPLETE",
                                "description": "Incomplete",
                                "timestamp": "2022-12-29T14:09:17.963"
                            }
                        }
                    ],
                    "totalEarnedCredits": 6,
                    "status": {
                        "code": "INCOMPLETE",
                        "description": "Incomplete",
                        "timestamp": "2022-12-29T14:09:17.963"
                    },
                    "eprEarnedCredits": 0
                },
                {
                    "year": "2022",
                    "dueDate": "2022-12-31",
                    "ppEarnedCredits": 6,
                    "creditRequirements": [
                        {
                            "requiredCredits": 6,
                            "earnedCredits": 6,
                            "type": {
                                "code": "PP",
                                "description": "Products & Practice"
                            },
                            "status": {
                                "code": "COMPLETE",
                                "description": "Complete",
                                "timestamp": "2022-10-20T17:11:44.283"
                            }
                        },
                        {
                            "requiredCredits": 6,
                            "earnedCredits": 5,
                            "type": {
                                "code": "EPR",
                                "description": "Ethics & Professional Responsibility"
                            },
                            "status": {
                                "code": "INCOMPLETE",
                                "description": "Incomplete",
                                "timestamp": "2022-06-08T12:01:52.977"
                            }
                        }
                    ],
                    "totalEarnedCredits": 11,
                    "status": {
                        "code": "INCOMPLETE",
                        "description": "Incomplete",
                        "timestamp": "2022-06-08T12:01:52.977"
                    },
                    "eprEarnedCredits": 5
                }
            ],
            "status": {
                "code": "INACTIVE",
                "description": "IARCE Inactive"
            }
        },
        "events": [
            {
                "filing": {
                    "formTypeCode": "U4",
                    "filingTypeCode": "AMENDMENT",
                    "formVersion": "05/2009",
                    "id": 58762410
                },
                "eventTypeCode": "FLNG",
                "id": 58762410,
                "eventDate": "2022-04-26"
            },
            {
                "filing": {
                    "formTypeCode": "U5",
                    "filingTypeCode": "AMENDMENT",
                    "formVersion": "05/2009",
                    "id": 57808467
                },
                "eventTypeCode": "FLNG",
                "id": 57808467,
                "eventDate": "2021-12-17"
            },
            {
                "eventTypeCode": "BRFLNG",
                "id": 57005871,
                "eventDate": "2021-08-20"
            },
            {
                "filing": {
                    "formTypeCode": "U4",
                    "filingTypeCode": "AMENDMENT",
                    "formVersion": "05/2009",
                    "id": 54601593
                },
                "eventTypeCode": "FLNG",
                "id": 54601593,
                "eventDate": "2020-08-24"
            },
            {
                "filing": {
                    "formTypeCode": "U5",
                    "filingTypeCode": "PARTIAL",
                    "formVersion": "05/2009",
                    "id": 50465887
                },
                "eventTypeCode": "FLNG",
                "id": 50465887,
                "eventDate": "2018-12-06"
            },
            {
                "eventTypeCode": "NFITERMRGSTN",
                "regulatorIdentifier": 1,
                "id": 49953299,
                "eventDate": "2018-10-01"
            },
            {
                "eventTypeCode": "NFIADDRGSTN",
                "regulatorIdentifier": 1,
                "id": 49929484,
                "eventDate": "2018-10-01"
            },
            {
                "eventTypeCode": "BRFLNG",
                "id": 49677267,
                "eventDate": "2018-08-28"
            },
            {
                "filing": {
                    "formTypeCode": "U4",
                    "filingTypeCode": "RELICENSE",
                    "formVersion": "05/2009",
                    "id": 47144087
                },
                "eventTypeCode": "FLNG",
                "id": 47144087,
                "eventDate": "2017-08-29"
            },
            {
                "eventTypeCode": "BRFLNG",
                "id": 40442292,
                "eventDate": "2006-10-31"
            },
            {
                "eventTypeCode": "BRFLNG",
                "id": 39869153,
                "eventDate": "2005-12-14"
            },
            {
                "filing": {
                    "formTypeCode": "U4",
                    "filingTypeCode": "RELICENSE",
                    "formVersion": "05/2009",
                    "id": 31929715
                },
                "eventTypeCode": "FLNG",
                "id": 31929715,
                "eventDate": "2012-02-01"
            },
            {
                "filing": {
                    "formTypeCode": "U5",
                    "filingTypeCode": "PARTIAL",
                    "formVersion": "05/2009",
                    "id": 31615865
                },
                "eventTypeCode": "FLNG",
                "id": 31615865,
                "eventDate": "2011-12-20"
            },
            {
                "eventTypeCode": "WLFLREGACTNQSTNS",
                "id": 25706761,
                "eventDate": "2009-05-29"
            },
            {
                "filing": {
                    "formTypeCode": "U5",
                    "filingTypeCode": "PARTIAL",
                    "formVersion": "10/2005",
                    "id": 25061810
                },
                "eventTypeCode": "FLNG",
                "id": 25061810,
                "eventDate": "2009-03-27"
            },
            {
                "filing": {
                    "formTypeCode": "U4",
                    "filingTypeCode": "AMENDMENT",
                    "formVersion": "10/2005",
                    "id": 24811468
                },
                "eventTypeCode": "FLNG",
                "id": 24811468,
                "eventDate": "2009-02-04"
            },
            {
                "filing": {
                    "formTypeCode": "U4",
                    "filingTypeCode": "AMENDMENT",
                    "formVersion": "10/2005",
                    "id": 24227695
                },
                "eventTypeCode": "FLNG",
                "id": 24227695,
                "eventDate": "2008-10-24"
            },
            {
                "filing": {
                    "formTypeCode": "U5",
                    "filingTypeCode": "PARTIAL",
                    "formVersion": "10/2005",
                    "id": 22961955
                },
                "eventTypeCode": "FLNG",
                "id": 22961955,
                "eventDate": "2008-04-15"
            },
            {
                "filing": {
                    "formTypeCode": "U4",
                    "filingTypeCode": "AMENDMENT",
                    "formVersion": "06/2003",
                    "id": 16302746
                },
                "eventTypeCode": "FLNG",
                "id": 16302746,
                "eventDate": "2005-10-24"
            },
            {
                "filing": {
                    "formTypeCode": "U5",
                    "filingTypeCode": "PARTIAL",
                    "formVersion": "08/1999",
                    "id": 9147733
                },
                "eventTypeCode": "FLNG",
                "id": 9147733,
                "eventDate": "2001-12-18"
            },
            {
                "eventTypeCode": "U5CNVRN",
                "id": 1199132,
                "eventDate": "1999-07-05"
            },
            {
                "filing": {
                    "formTypeCode": "U4",
                    "filingTypeCode": "CONVERSION",
                    "formVersion": "08/1999",
                    "id": 1199130
                },
                "eventTypeCode": "FLNG",
                "id": 1199130,
                "eventDate": "1999-08-07"
            },
            {
                "eventTypeCode": "U5CNVRN",
                "id": 1199098,
                "eventDate": "1999-07-05"
            },
            {
                "filing": {
                    "formTypeCode": "U4",
                    "filingTypeCode": "CONVERSION",
                    "formVersion": "08/1999",
                    "id": 1199097
                },
                "eventTypeCode": "FLNG",
                "id": 1199097,
                "eventDate": "1999-08-07"
            },
            {
                "filing": {
                    "formTypeCode": "U5",
                    "filingTypeCode": "CONVERSION",
                    "formVersion": "08/1999",
                    "id": 117472
                },
                "eventTypeCode": "FLNG",
                "id": 117472,
                "eventDate": "1999-08-07"
            }
        ]
    }
]
Sample Request
https://api.finra.org/data/group/registration/name/compositeindividualmock?individualCrdNumber=12345&sections=AnnualContinuingEducation

 

Sample Response
[
                    {
                        "annualContinuingEducation": {
                            "bdCeYearlyData": [
                                {
                                    "year": "2023",
                                    "assignedCourses": [
                                        {
                                            "courseName": "Determining Fair Prices and Markups",
                                            "dueDate": "2023-12-31",
                                            "courseId": "RE2023-011",
                                            "status": {
                                                "code": "ASSIGNED",
                                                "description": "Assigned"
                                            }
                                        },
                                        {
                                            "courseName": "Data Access Management",
                                            "dueDate": "2023-12-31",
                                            "courseId": "RE2023-002",
                                            "status": {
                                                "code": "ASSIGNED",
                                                "description": "Assigned"
                                            }
                                        },
                                        {
                                            "courseName": "Information Protection",
                                            "dueDate": "2023-12-31",
                                            "courseId": "RE2023-003",
                                            "status": {
                                                "code": "ASSIGNED",
                                                "description": "Assigned"
                                            }
                                        },
                                        {
                                            "courseName": "Navigating Regulation BI",
                                            "dueDate": "2023-12-31",
                                            "courseId": "RE2023-004",
                                            "status": {
                                                "code": "ASSIGNED",
                                                "description": "Assigned"
                                            }
                                        }
                                    ]
                                }
                            ],
                            "status": {
                                "code": "REQUIRED",
                                "description": "Required",
                                "timestamp": "2023-01-01T00:00:00"
                            }
                        }
                    }
                ]
                    

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.

Dataset Info:

groupdataset
registrationcompositeindividualseed

 

Terms Of Service

The specific Terms of Service for the Registration datasets are included by reference in the FINRA API Terms of Service.

  1. The dataset returns all individuals currently employed by the requesting firm and individuals terminated within the last 30 days by default. The individual data elements for the dataset are the same as the Composite Individual Dataset
  2. The dataset only supports asynchronous call. If a file is requested by 12 AM ET on a given day,  it is made available the following day via a presigned URL after 7 AM ET on weekdays and 9 AM ET on weekends.
  3. The available operations for the datasets are POST and GET . POST is used to request a Composite Individual Seed file and GET is used to retrieve presigned URL link to download the file.
  4. Users can request for the file download up to 3 times a month in production and up to 30 times a month in the QA Test environment.
  5. Following filter is available for the dataset.
 Filter NameRequired (Yes/No)Note
1sectionsNoUser can combine one or more section filters

    6. Following section filters are available for the dataset.

 Section FiltersDescriptionWebEFT IIR section
1AnnualContinuingEducationAnnual CECEInformation
2InvestmentAdviserContinuingEducationIA CECEInformation
3occurrencesDisclosure OccurrencesReportableDisclosureInformation
NonReportableDisclosureInformation
4eventsFiling EventsFilingHistory
5examsExam HistoryExamInformation
ExamWaiverInformation
6firmAssociationsFirm AssociationsFingerprintInformation
RegistrationsByCurrentEmployment
AffiliatedFirm
OfficeOfEmploymentHistory
7individualIndividualOtherNames
IdentifyingInformation
ProfessionalDesignations
ResidentialHistory
EmploymentHistory
OtherBusiness

 7. POST Request response fields

 FieldsDescriptionMax. Length
1messageMessage about the request status25
2sectionsSection filters used when generating the Individual Seed JSON file.500
3requestIdFINRA uuid used when processing the request. This ID is required when using GET to retrieve the Composite Individual Seed JSON file.36
4requestTimeStampTimestamp generated after the POST call is submitted to FINRA.30

8. GET Request Response fields:

 FieldsDescriptionMax Length
1resultLinkPreSigned URL for data object retrieval.  ResultLink attribute will be included only when status is "completed".1500
2checkStatusLinkURI which can be called again to poll for completed data file. checkStatusLink attribute will be included only when status is "pending" or "unavailable".150
3expiresThe presigned URL is valid for only 30 mins after the call is made, after which the url will no longer be valid and a new GET call must be made with the same requestId. ExpirationDate attribute will be included only when status = "completed".25
4requestIdFINRA uuid used when processing the request. This ID is required when using GET operation to retrieve the Composite Individual Seed JSON file. The Composite Individual Seed file will be available for only 30 calendar days from the request date. 36
5statusStatus of the file requested. Possible values are "complete", "pending", or "unavailable".25

9. Below is the format of the Composite Individual Seed JSON File Format

 FieldsDescriptionData Format
1statusResult status. Possible values are "success" or "failed"string
2errorMessagesError message related to the JSON file request. This attribute is only returned if there are error messages.string
3responseResponse based on the POST Request payload. Refer to the Composite Individual Dataset schema for the data elements and format of each individual in the response.array
Sample Request
https://api.finra.org/v1/data/group/registration/name/compositeindividualseed

 

Sample Request Payload if no section filtering is needed
           {
           }                                  
     

 

Sample Request Payload with sections
            {
              "sections": [
                "individual",
                "exams"
              ]
            }                                       
                                        

 

Sample Response
        {
          "message": "Request received",
          "sections": [
            "individual",
            "exams"
          ],
          "requestId": "d733e51c-b446-4c2f-a117-91d1488e89e7",
          "requestTimestamp": "2023-12-23T16:00:13.290Z"
        }
                                        
                                        
Sample Request
https://api.finra.org/v1/data/group/registration/name/compositeindividualseed/d733e51c-b446-4c2f-a117-91d1488e89e7

 

Sample GET Response when status is "complete"
        {
          "resultLink": "https://presignedurldemo.s3.eu-east-1.amazonaws.com/image.png?X-Amz-Algorithm=AWS4-HMAC-SHA256&X-Amz-Credential=AKIAJJWZ7B6WCRGMKFGQ%2F20180210%2Feu-west-2%2Fs3%2Faws4_request&X-Amz-               Date=20180210T171315Z&X-Amz-Expires=1800&X-Amz-Signature=12b74b0788aa036bc7c3d03b3f20c61f1f91cc9ad8873e3314255dc479a25351&X-Amz-SignedHeaders=host",
          "expires": "2023-12-23T16:00:13.290Z",
          "requestId": "d733e51c-b446-4c2f-a117-91d1488e89e7",
          "status": "complete"
        }
                   

 

Sample GET Response when status is "pending" on "unavailable"
{
   "requestId": "d733e51c-b446-4c2f-a117-91d1488e89e7",
   "checkStatusLink": "https://api-int.finra.org/v1/data/group/{{groupName}}/name/{{datasetName}}/{{id}}"
}

 

Sample Seed file when status is "success"
{
  "status": "success",
  "response": [
    {
      "exams": [
        {
          "enrollmentIdentifier": 0,
          "code": "S3",
          "status": {
            "code": "OFFICIAL_RESULT",
            "date": "2009-07-14"
          },
          "dateTaken": "2009-07-14",
          "gradeCode": "PASSED",
          "updateTimestamp": "2018-09-29T11:58:46.464631",
          "instanceNumber": 173416
        },
        {
          "enrollmentIdentifier": 10,
          "code": "S63",
          "status": {
            "code": "EXPIRED",
            "date": "2010-04-12"
          },
          "score": "0",
          "updateTimestamp": "2010-04-12T00:00:00",
          "instanceNumber": 18417
        }
      ],
      "individual": {
        "anyDisclosureMaterialUpdates": false,
        "regulatoryStatus": {
          "statutorilyDisqualifiedStatusCode": "BLNK",
          "militaryDeferralApproved": "N"
        },
        "aliases": [
          {
            "firstName": "JANE",
            "lastName": "SMITH",
            "middleName": "ANNE",
            "instanceNumber": 1
          }
        ],
        "iaAffiliations": [],
        "otherBusinesses": [
          {}
        ],
        "professionalDesignations": [],
        "biometrics": {
          "eyeColorCode": "BRO",
          "genderCode": "F",
          "hairColorCode": "BRO",
          "weight": 168,
          "heightInFeet": 5,
          "heightInInches": 10
        },
        "residentialHistory": [
          {
            "address": {
              "addressLine1": "110 Maryland AVE",
              "cityName": "ROCKVILLE",
              "countryCode": "USA",
              "countryLongName": "United States",
              "postalCode": "20850",
              "stateCode": "MD"
            },
            "addressStartDate": "2008-03-01",
            "addressInstanceNumber": 1
          }
        ],
        "employmentHistory": [
          {
            "address": {
              "cityName": "NEW YORK",
              "countryCode": "USA",
              "countryLongName": "United States",
              "postalCode": "10004",
              "stateCode": "NY"
            },
            "employerFirmName": "E. F. HUTTON & COMPANY INC",
            "nonIndustryEmploymentsInstanceNumber": 8,
            "investmentRelatedIndicator": "Y",
            "positionDescription": "OTHER - AGENT (HAS ANOTHER CRD# 237210",
            "employmentStartDate": "1981-09-14",
            "employmentEndDate": "1984-04-04"
          }
        ],
        "personalInformation": {
          "countryCodeOfBirth": "USA",
          "dateOfBirth": "1987-06-02",
          "stateOfBirth": "MD",
          "individualName": {
            "firstName": "JANE",
            "lastName": "SMITH",
            "middleName": "ANNE"
          }
        },
        "crdNumber": 8637
      }
    },
    {
      "exams": [
        {
          "enrollmentIdentifier": 0,
          "code": "S3",
          "status": {
            "code": "OFFICIAL_RESULT",
            "date": "1993-07-14"
          },
          "dateTaken": "1993-07-14",
          "gradeCode": "PASSED",
          "updateTimestamp": "2018-09-29T11:58:46.464631",
          "instanceNumber": 17348416
        },
        {
          "enrollmentIdentifier": 0,
          "code": "S63",
          "status": {
            "code": "EXPIRED",
            "date": "1982-04-12"
          }
        }
      ],
      "individual": {
        "anyDisclosureMaterialUpdates": false,
        "regulatoryStatus": {
          "statutorilyDisqualifiedStatusCode": "BLNK",
          "militaryDeferralApproved": "N"
        },
        "aliases": [
          {
            "firstName": "LILY",
            "lastName": "GREEN",
            "instanceNumber": 2
          }
        ],
        "iaAffiliations": [],
        "otherBusinesses": [
          {}
        ],
        "professionalDesignations": [],
        "biometrics": {
          "eyeColorCode": "GRN",
          "genderCode": "F",
          "hairColorCode": "BRO",
          "weight": 137,
          "heightInFeet": 5,
          "heightInInches": 9
        },
        "residentialHistory": [
          {
            "address": {
              "addressLine1": "11 MAIN ST.",
              "cityName": "ROCKVILLE",
              "countryCode": "USA",
              "countryLongName": "United States",
              "postalCode": "20850",
              "stateCode": "MD"
            },
            "addressStartDate": "1995-04-01",
            "addressInstanceNumber": 1
          }
        ],
        "employmentHistory": [
          {
            "address": {
              "cityName": "RESTON",
              "countryCode": "USA",
              "countryLongName": "United States",
              "postalCode": "20191",
              "stateCode": "VA"
            },
            "employerFirmName": "TEST.",
            "nonIndustryEmploymentsInstanceNumber": 3,
            "investmentRelatedIndicator": "Y",
            "positionDescription": "DIRECTOR - Director",
            "employmentStartDate": "1991-02-01"
          }
        ],
        "personalInformation": {
          "dateOfBirth": "1978-12-30",
          "stateProvinceOfBirth": "Unknown",
          "individualName": {
            "firstName": "LILY",
            "lastName": "GREEN",
            "middleName": "SMITH"
          }
        },
        "crdNumber": 2130
      }
    }
  ]
}
Sample Seed File when there is a processing error
{
   "status": "failed",
   "errorMessages": [
      "System is unable to generate the Composite Individual Seed file, please check the status later using the same requestId"
   ]
}
            

 

Sample 2 when the request is invalid
{
   "status": "failed",
   "errorMessages": [
      "Invalid section(s): Test1, Test2"
   ]
}
                    

 

Continuing Education

Deprecated

Continuing education status information for registered individuals.

Dataset Info:

groupdatasettest dataset
firmregisteredIndividualContinuingEducationregisteredIndividualContinuingEducationMock

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualContinuingEducationMock?limit=5

 

Sample Response
[
    {
        "ceStatusDate": "2021-01-14",
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "militaryAnnualVerificationReceivedFlag": "NO",
        "ceStatus": "CE Inactive",
        "militaryDutyBeginDate": null,
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1,
        "ceBaseDate": "2017-07-14",
        "militaryDeferredFlag": "NO",
        "ceSessions": [
            {
                "appointmentStatusCode": null,
                "sessionTypeName": "Registered Representative Session",
                "requirementTypeName": "Anniversary",
                "appointmentProgress": null,
                "windowBeginDate": "2021-01-14",
                "onlineLastAccessedDate": "2021-01-24",
                "windowEndDate": "2021-05-14"
            }
        ]
    },
    {
        "ceStatusDate": null,
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "militaryAnnualVerificationReceivedFlag": "NO",
        "ceStatus": null,
        "militaryDutyBeginDate": null,
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10,
        "ceBaseDate": null,
        "militaryDeferredFlag": "YES"
    },
    {
        "ceStatusDate": null,
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "militaryAnnualVerificationReceivedFlag": "YES",
        "ceStatus": null,
        "militaryDutyBeginDate": "2006-03-24",
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 100,
        "ceBaseDate": null,
        "militaryDeferredFlag": "NO"
    },
    {
        "ceStatusDate": null,
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "militaryAnnualVerificationReceivedFlag": "YES",
        "ceStatus": null,
        "militaryDutyBeginDate": "2017-11-04",
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1000,
        "ceBaseDate": null,
        "militaryDeferredFlag": "NO"
    },
    {
        "ceStatusDate": null,
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "militaryAnnualVerificationReceivedFlag": "NO",
        "ceStatus": null,
        "militaryDutyBeginDate": null,
        "employments": [
            {
                "firmCrdNumber": 3000005
            },
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10000,
        "ceBaseDate": null,
        "militaryDeferredFlag": "NO"
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualContinuingEducationMock

 

Sample Request Payload
{
"limit":5,
"compareFilters": [ 
{"compareType": "equal", "fieldName": "registrations.regulatorCode", "fieldValue": "CBOE C2" }
]
}
 

 

Sample Response
[
    {
        "ceStatusDate": null,
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            }
        ],
        "militaryAnnualVerificationReceivedFlag": "YES",
        "ceStatus": null,
        "militaryDutyBeginDate": "2006-03-24",
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 100,
        "ceBaseDate": null,
        "militaryDeferredFlag": "NO"
    },
    {
        "ceStatusDate": null,
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            }
        ],
        "militaryAnnualVerificationReceivedFlag": "YES",
        "ceStatus": null,
        "militaryDutyBeginDate": "2012-08-05",
        "employments": [
            {
                "firmCrdNumber": 3000005
            },
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 114,
        "ceBaseDate": null,
        "militaryDeferredFlag": "YES"
    },
    {
        "ceStatusDate": null,
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            }
        ],
        "militaryAnnualVerificationReceivedFlag": "YES",
        "ceStatus": null,
        "militaryDutyBeginDate": "1970-11-14",
        "employments": [
            {
                "firmCrdNumber": 3000005
            },
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1162,
        "ceBaseDate": null,
        "militaryDeferredFlag": "NO"
    },
    {
        "ceStatusDate": null,
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            }
        ],
        "militaryAnnualVerificationReceivedFlag": "NO",
        "ceStatus": null,
        "militaryDutyBeginDate": null,
        "employments": [
            {
                "firmCrdNumber": 3000005
            },
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1199,
        "ceBaseDate": null,
        "militaryDeferredFlag": "YES"
    },
    {
        "ceStatusDate": "2021-01-14",
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            }
        ],
        "militaryAnnualVerificationReceivedFlag": "NO",
        "ceStatus": "CE 2 Year Termed",
        "militaryDutyBeginDate": null,
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1201,
        "ceBaseDate": "2014-01-14",
        "militaryDeferredFlag": "NO",
        "ceSessions": [
            {
                "appointmentStatusCode": null,
                "sessionTypeName": null,
                "requirementTypeName": null,
                "appointmentProgress": null,
                "windowBeginDate": null,
                "onlineLastAccessedDate": null,
                "windowEndDate": null
            }
        ]
    }
]

 

Deficiencies

Deprecated

Registration deficiency information for registered individuals including regulator identification.

Dataset Info:

groupdatasettest dataset
firmregisteredIndividualDeficienciesregisteredIndividualDeficienciesMock

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualDeficienciesMock?limit=5

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "individualCrdNumber": 1
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "individualCrdNumber": 10
    },
    {
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "deficiencies": [
            {
                "regulatorName": "FINRA",
                "examCode": null,
                "deficiencyType": null,
                "registrationCategoryCode": null,
                "deficiencyDate": null,
                "regulatorCode": "WL",
                "firmCrdNumber": 3000005
            },
            {
                "regulatorName": "FL",
                "examCode": null,
                "deficiencyType": null,
                "registrationCategoryCode": null,
                "deficiencyDate": null,
                "regulatorCode": "FL",
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "deficiencies": [
            {
                "regulatorName": "NYSE-NAT",
                "examCode": null,
                "deficiencyType": null,
                "registrationCategoryCode": null,
                "deficiencyDate": null,
                "regulatorCode": "VA",
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "individualCrdNumber": 10000
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualDeficienciesMock

 

Sample Request Payload
{
"limit":5,
"compareFilters": [ 
{"compareType": "equal", "fieldName": "deficiencies.regulatorName", "fieldValue": "NYSE-NAT" }
]
}
 

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "deficiencies": [
            {
                "regulatorName": "NYSE-NAT",
                "examCode": null,
                "deficiencyType": null,
                "registrationCategoryCode": null,
                "deficiencyDate": null,
                "regulatorCode": "VA",
                "firmCrdNumber": "3000005"
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "regulatorCode": "CBOE EDGX"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "deficiencies": [
            {
                "regulatorName": "NYSE-NAT",
                "examCode": null,
                "deficiencyType": null,
                "registrationCategoryCode": null,
                "deficiencyDate": null,
                "regulatorCode": "FINRA",
                "firmCrdNumber": "3000005"
            }
        ],
        "individualCrdNumber": 1005
    },
    {
        "registrations": [
            {
                "regulatorCode": "MEMX"
            },
            {
                "regulatorCode": "ISE MRX"
            }
        ],
        "deficiencies": [
            {
                "regulatorName": "NYSE-NAT",
                "examCode": null,
                "deficiencyType": null,
                "registrationCategoryCode": null,
                "deficiencyDate": null,
                "regulatorCode": "VA",
                "firmCrdNumber": "3000005"
            }
        ],
        "individualCrdNumber": 1016
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "NYSE-NAT"
            }
        ],
        "deficiencies": [
            {
                "regulatorName": "NYSE-NAT",
                "examCode": null,
                "deficiencyType": null,
                "registrationCategoryCode": null,
                "deficiencyDate": null,
                "regulatorCode": "WL",
                "firmCrdNumber": "3000005"
            }
        ],
        "individualCrdNumber": 1018
    },
    {
        "registrations": [
            {
                "regulatorCode": "CBOE BZX"
            },
            {
                "regulatorCode": "CBOE BZX"
            }
        ],
        "deficiencies": [
            {
                "regulatorName": "NYSE-NAT",
                "examCode": null,
                "deficiencyType": null,
                "registrationCategoryCode": null,
                "deficiencyDate": null,
                "regulatorCode": "FINRA",
                "firmCrdNumber": "3000005"
            }
        ],
        "individualCrdNumber": 1030
    }
]

 

Disclosure

Deprecated

Disclosure information for registered individuals including disclosure type.

Dataset Info:

groupdatasettest dataset
firmregisteredIndividualDisclosuresregisteredIndividualDisclosuresMock

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualDisclosuresMock?limit=5

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "disclosures": [
            {
                "disclosureType": "Termination",
                "reportableFlag": "YES",
                "publiclyDisclosableFlag": null,
                "occurrenceNumber": 4957733874,
                "amendableFlag": "YES",
                "disclosableFlag": "YES",
                "archivedFlag": null
            }
        ],
        "individualCrdNumber": 10
    },
    {
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "disclosures": [
            {
                "disclosureType": "Judgment/Lien",
                "reportableFlag": "YES",
                "publiclyDisclosableFlag": null,
                "occurrenceNumber": 5650482209,
                "amendableFlag": "NO",
                "disclosableFlag": "YES",
                "archivedFlag": null
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "disclosures": [
            {
                "disclosureType": "Civil Judicial Action",
                "reportableFlag": "YES",
                "publiclyDisclosableFlag": null,
                "occurrenceNumber": 5338275277,
                "amendableFlag": "NO",
                "disclosableFlag": "NO",
                "archivedFlag": null
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            },
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10000
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualDisclosuresMock

 

Sample Request Payload
{
"limit":5,
"fields":["disclosures.disclosureType","disclosures.reportableFlag","employments.firmCRDNumber"]
}
 

 

Sample Response
[
    {
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ]
    },
    {
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "disclosures": [
            {
                "disclosureType": "Termination",
                "reportableFlag": "YES"
            }
        ]
    },
    {
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "disclosures": [
            {
                "disclosureType": "Judgment/Lien",
                "reportableFlag": "YES"
            }
        ]
    },
    {
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "disclosures": [
            {
                "disclosureType": "Civil Judicial Action",
                "reportableFlag": "YES"
            }
        ]
    },
    {
        "employments": [
            {
                "firmCrdNumber": 3000005
            },
            {
                "firmCrdNumber": 3000005
            }
        ]
    }
]

 

Disclosure Filings

Deprecated

Disclosure filings for a registered individual.

Dataset Info:

groupdatasettest dataset
firmregisteredIndividualDisclosureFilingsregisteredIndividualDisclosureFilingsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualDisclosureFilingsMock?limit=5

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10,
        "disclosureFilings": [
            {
                "disclosureTypeCode": "Termination",
                "formTypeCode": "U5",
                "statusDate": "2017-06-10",
                "filingNumber": 8099057302,
                "comments": null,
                "filedByFirmName": "EQIS SECURITIES, LLC",
                "filedByRegulatorName": null,
                "filingDate": "2014-03-15",
                "occurrenceNumber": 4957733874,
                "pending": "YES",
                "firstReportedDate": "2014-03-15",
                "disclosureTypeName": "termination",
                "filedByRegulatorCode": null,
                "disclosureStatus": "PENDING",
                "amendableFlag": "YES",
                "filedByRegulatorNumber": null,
                "employingFirmName": "EQIS SECURITIES, LLC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "FAIR PRACTICE ALLEGEDLY VIOLATED ARTICLE III SECITON 1, 12 AND 19D.",
                "filedByFirmCrdNumber": 20633,
                "allegedDamages": null,
                "eventDate": "2013-12-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Termination",
                "formTypeCode": "U5",
                "statusDate": "2021-06-11",
                "filingNumber": 8112899519,
                "comments": null,
                "filedByFirmName": "JMI SECURITIES CORPORATION",
                "filedByRegulatorName": null,
                "filingDate": "2021-05-16",
                "occurrenceNumber": 4957733874,
                "pending": "NO",
                "firstReportedDate": "2021-05-16",
                "disclosureTypeName": "termination",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "JMI SECURITIES CORPORATION",
                "filingTypeCode": "AMENDMENT",
                "allegations": "FAIR PRACTICE ALLEGEDLY VIOLATED ARTICLE III SECITON 1, 12 AND 19D.",
                "filedByFirmCrdNumber": 13955,
                "allegedDamages": null,
                "eventDate": "2021-05-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Termination",
                "formTypeCode": "U6",
                "statusDate": "2017-03-19",
                "filingNumber": 9893513669,
                "comments": null,
                "filedByFirmName": "COTTON AND ASSOCIATES, C.L.P.",
                "filedByRegulatorName": null,
                "filingDate": "2013-10-18",
                "occurrenceNumber": 4957733874,
                "pending": "NO",
                "firstReportedDate": "2013-10-18",
                "disclosureTypeName": "termination",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "COTTON AND ASSOCIATES, C.L.P.",
                "filingTypeCode": "AMENDMENT",
                "allegations": "NASD QUESTIONED USE OF ADVERTISING MATERIAL FOR A SEMINAR BEING GIVEN BY ONE OF THE ACCOUNT EXECUTIVES IN REGION OVER WHICH I WAS RESPONSIBLE.",
                "filedByFirmCrdNumber": 37390,
                "allegedDamages": null,
                "eventDate": "2013-07-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Termination",
                "formTypeCode": "U5",
                "statusDate": "2017-06-27",
                "filingNumber": 2405278696,
                "comments": null,
                "filedByFirmName": "SEA COAST SECURITIES, INC",
                "filedByRegulatorName": null,
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                "pending": "NO",
                "firstReportedDate": "2014-04-14",
                "disclosureTypeName": "termination",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "SEA COAST SECURITIES, INC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "FAIR PRACTICE ALLEGEDLY VIOLATED ARTICLE III SECITON 1, 12 AND 19D.",
                "filedByFirmCrdNumber": 10157,
                "allegedDamages": null,
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                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Termination",
                "formTypeCode": "U5",
                "statusDate": "2018-08-27",
                "filingNumber": 1841661748,
                "comments": null,
                "filedByFirmName": "BKD INSURANCE, LLC",
                "filedByRegulatorName": null,
                "filingDate": "2016-05-17",
                "occurrenceNumber": 4957733874,
                "pending": "NO",
                "firstReportedDate": "2016-05-17",
                "disclosureTypeName": "termination",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "BKD INSURANCE, LLC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "FALSE STATEMENT CHARGED REGARDING PREVIOUS DWI OF 10/12/71 MEDIA PA. CASE #30868",
                "filedByFirmCrdNumber": 42911,
                "allegedDamages": null,
                "eventDate": "2016-03-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Termination",
                "formTypeCode": "U6",
                "statusDate": "2020-02-21",
                "filingNumber": 1925245862,
                "comments": null,
                "filedByFirmName": "JJONES, LLC",
                "filedByRegulatorName": null,
                "filingDate": "2019-01-14",
                "occurrenceNumber": 4957733874,
                "pending": "YES",
                "firstReportedDate": "2019-01-14",
                "disclosureTypeName": "termination",
                "filedByRegulatorCode": null,
                "disclosureStatus": "PENDING",
                "amendableFlag": "YES",
                "filedByRegulatorNumber": null,
                "employingFirmName": "JJONES, LLC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "FAILURE TO HONOR AWARD IN ARBITRATION #89-00377 IN THE AMOUNT OF $67,556.02",
                "filedByFirmCrdNumber": 130315,
                "allegedDamages": null,
                "eventDate": "2018-12-14",
                "satisfies4530Filing": null
            }
        ]
    },
    {
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
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        ],
        "individualCrdNumber": 100,
        "disclosureFilings": [
            {
                "disclosureTypeCode": "Judgment/Lien",
                "formTypeCode": "U4",
                "statusDate": "2018-05-21",
                "filingNumber": 6668885611,
                "comments": null,
                "filedByFirmName": "KENNY SECURITIES CORP.",
                "filedByRegulatorName": null,
                "filingDate": "2015-11-23",
                "occurrenceNumber": 5650482209,
                "pending": "NO",
                "firstReportedDate": "2015-11-23",
                "disclosureTypeName": "judgment/lien",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "KENNY SECURITIES CORP.",
                "filingTypeCode": "AMENDMENT",
                "allegations": "SEC RULE 15CE-1 WAS VIOLATED BY HAVING A NET CAPITAL DEFICIENCY ON 1-29-88 AND 2-29-88",
                "filedByFirmCrdNumber": 37552,
                "allegedDamages": null,
                "eventDate": "2015-09-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Judgment/Lien",
                "formTypeCode": "U6",
                "statusDate": "2020-09-22",
                "filingNumber": 9256397981,
                "comments": null,
                "filedByFirmName": "MARKMAN SECURITIES, INC.",
                "filedByRegulatorName": null,
                "filingDate": "2020-02-01",
                "occurrenceNumber": 5650482209,
                "pending": "NO",
                "firstReportedDate": "2020-02-01",
                "disclosureTypeName": "judgment/lien",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "MARKMAN SECURITIES, INC.",
                "filingTypeCode": "AMENDMENT",
                "allegations": "FAIR PRACTICE ALLEGEDLY VIOLATED ARTICLE III SECITON 1, 12 AND 19D.",
                "filedByFirmCrdNumber": 41505,
                "allegedDamages": null,
                "eventDate": "2020-01-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Judgment/Lien",
                "formTypeCode": "U6",
                "statusDate": "2017-05-08",
                "filingNumber": 5874513102,
                "comments": null,
                "filedByFirmName": "BROKER XPRESS",
                "filedByRegulatorName": null,
                "filingDate": "2014-01-15",
                "occurrenceNumber": 5650482209,
                "pending": "YES",
                "firstReportedDate": "2014-01-15",
                "disclosureTypeName": "judgment/lien",
                "filedByRegulatorCode": null,
                "disclosureStatus": "PENDING",
                "amendableFlag": "YES",
                "filedByRegulatorNumber": null,
                "employingFirmName": "BROKER XPRESS",
                "filingTypeCode": "AMENDMENT",
                "allegations": "SEC RULE 15CE-1 WAS VIOLATED BY HAVING A NET CAPITAL DEFICIENCY ON 1-29-88 AND 2-29-88",
                "filedByFirmCrdNumber": 125921,
                "allegedDamages": null,
                "eventDate": "2013-10-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Judgment/Lien",
                "formTypeCode": "U6",
                "statusDate": "2020-05-29",
                "filingNumber": 8243992803,
                "comments": null,
                "filedByFirmName": "STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED",
                "filedByRegulatorName": null,
                "filingDate": "2019-07-09",
                "occurrenceNumber": 5650482209,
                "pending": "YES",
                "firstReportedDate": "2019-07-09",
                "disclosureTypeName": "judgment/lien",
                "filedByRegulatorCode": null,
                "disclosureStatus": "PENDING",
                "amendableFlag": "YES",
                "filedByRegulatorNumber": null,
                "employingFirmName": "STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED",
                "filingTypeCode": "AMENDMENT",
                "allegations": "ALLEGED UNAUTHORIZED TRADES & WILFULLY VIOLATED SECTION 17 (A) OF THE SECURITIES EXCHANGE ACT OF 1934",
                "filedByFirmCrdNumber": 5133,
                "allegedDamages": null,
                "eventDate": "2019-06-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Judgment/Lien",
                "formTypeCode": "U5",
                "statusDate": "2017-08-30",
                "filingNumber": 3220411742,
                "comments": null,
                "filedByFirmName": "WABASH VALLEY SPECIALISTS, INC.",
                "filedByRegulatorName": null,
                "filingDate": "2014-08-08",
                "occurrenceNumber": 5650482209,
                "pending": "NO",
                "firstReportedDate": "2014-08-08",
                "disclosureTypeName": "judgment/lien",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "WABASH VALLEY SPECIALISTS, INC.",
                "filingTypeCode": "AMENDMENT",
                "allegations": "THE CBOE HAS CHARGED THAT DURING THE PERIOD FROM JUNE, 1988 THROUGH NOVEMBER, 1988 THAT PRUDENTIAL SECURITIES INCORPORATED AND MR. BALLAN FAILED TO ADEQUATELY SUPERVISE MR. JOHN S. CZIPRUSZ, WHO WAS A PRUDENTIAL REGISTERED REPRESENTATIVE, BY ALLOWING MR. CZIPRUSZ TO EFFECT OPTIONS TRANSACTIONS IN A CUSTOMER'S ACCOUNTS WHICH TRANSACTIONS WERE UNSUITABLE AND EXCESSIVE IN SIZE IN VIOLATION OF EXCHANGE RULE 4.2. (ADHERENCE TO LAW) AND 9.8 (SUPERVISION OF ACCOUNTS).",
                "filedByFirmCrdNumber": 41761,
                "allegedDamages": null,
                "eventDate": "2014-05-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Judgment/Lien",
                "formTypeCode": "U4",
                "statusDate": "2018-06-23",
                "filingNumber": 2764543602,
                "comments": null,
                "filedByFirmName": "COHEN & STEERS SECURITIES, LLC",
                "filedByRegulatorName": null,
                "filingDate": "2016-01-21",
                "occurrenceNumber": 5650482209,
                "pending": "NO",
                "firstReportedDate": "2016-01-21",
                "disclosureTypeName": "judgment/lien",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "COHEN & STEERS SECURITIES, LLC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "ADAMS AND WHITNEY SECURITIES CORP AND THEODORE P. ALLOCCA REG. PRINCIPAL. VIOLATION OF S.E.C. RULE 15 C 3-3 AND S.E.C. RULE 17A-5, FAIR PRACTICE ALLEGEDLY VIOLATED ARTICLE III - SECTION I.",
                "filedByFirmCrdNumber": 29258,
                "allegedDamages": null,
                "eventDate": "2015-11-14",
                "satisfies4530Filing": null
            }
        ]
    },
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1000,
        "disclosureFilings": [
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U6",
                "statusDate": "2017-06-10",
                "filingNumber": 520895659,
                "comments": null,
                "filedByFirmName": "MUSTANG TRADING, LLC",
                "filedByRegulatorName": null,
                "filingDate": "2014-03-15",
                "occurrenceNumber": 5338275277,
                "pending": "YES",
                "firstReportedDate": "2014-03-15",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "PENDING",
                "amendableFlag": "YES",
                "filedByRegulatorNumber": null,
                "employingFirmName": "MUSTANG TRADING, LLC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "ALBANESE & CO. & EUGENE ALBANESE WAS CENSURED & FINED $10U0.00 &  SUSPENDED FROM ASSOCIATION WITH ANY MEMBER FOR A PERIOD OF TWO DAYS FOR VIOLATIONS OF REG T.",
                "filedByFirmCrdNumber": 131608,
                "allegedDamages": null,
                "eventDate": "2013-12-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U4",
                "statusDate": "2019-11-14",
                "filingNumber": 6866436553,
                "comments": null,
                "filedByFirmName": "ALTERNA CAPITAL CORP.",
                "filedByRegulatorName": null,
                "filingDate": "2018-07-21",
                "occurrenceNumber": 5338275277,
                "pending": "YES",
                "firstReportedDate": "2018-07-21",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "PENDING",
                "amendableFlag": "YES",
                "filedByRegulatorNumber": null,
                "employingFirmName": "ALTERNA CAPITAL CORP.",
                "filingTypeCode": "AMENDMENT",
                "allegations": "ALBANESE & CO. WERE CENSURED & FINED $100.00 FOR FILING A INACCURATE FINANCIAL STATEMENT.",
                "filedByFirmCrdNumber": 130233,
                "allegedDamages": null,
                "eventDate": "2018-06-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U4",
                "statusDate": "2018-05-21",
                "filingNumber": 7830760956,
                "comments": null,
                "filedByFirmName": "PETRA TRADING GROUP LLC",
                "filedByRegulatorName": null,
                "filingDate": "2015-11-23",
                "occurrenceNumber": 5338275277,
                "pending": "NO",
                "firstReportedDate": "2015-11-23",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "PETRA TRADING GROUP LLC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "FALSE STATEMENT CHARGED REGARDING PREVIOUS DWI OF 10/12/71 MEDIA PA. CASE #30868",
                "filedByFirmCrdNumber": 131347,
                "allegedDamages": null,
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            },
            {
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                "formTypeCode": "U6",
                "statusDate": "2017-04-05",
                "filingNumber": 5909684394,
                "comments": null,
                "filedByFirmName": "SHERIDAN TRADING COMPANY, LLC",
                "filedByRegulatorName": null,
                "filingDate": "2013-11-17",
                "occurrenceNumber": 5338275277,
                "pending": "YES",
                "firstReportedDate": "2013-11-17",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "PENDING",
                "amendableFlag": "YES",
                "filedByRegulatorNumber": null,
                "employingFirmName": "SHERIDAN TRADING COMPANY, LLC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "ALLEGED UNAUTHORIZED TRADES & WILFULLY VIOLATED SECTION 17 (A) OF THE SECURITIES EXCHANGE ACT OF 1934",
                "filedByFirmCrdNumber": 125804,
                "allegedDamages": null,
                "eventDate": "2013-08-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U5",
                "statusDate": "2020-02-21",
                "filingNumber": 3377073673,
                "comments": null,
                "filedByFirmName": "MOODY FINANCIAL GROUP, INC.",
                "filedByRegulatorName": null,
                "filingDate": "2019-01-14",
                "occurrenceNumber": 5338275277,
                "pending": "YES",
                "firstReportedDate": "2019-01-14",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "PENDING",
                "amendableFlag": "YES",
                "filedByRegulatorNumber": null,
                "employingFirmName": "MOODY FINANCIAL GROUP, INC.",
                "filingTypeCode": "AMENDMENT",
                "allegations": "SEC RULE 15CE-1 WAS VIOLATED BY HAVING A NET CAPITAL DEFICIENCY ON 1-29-88 AND 2-29-88",
                "filedByFirmCrdNumber": 37646,
                "allegedDamages": null,
                "eventDate": "2018-12-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U5",
                "statusDate": "2021-02-01",
                "filingNumber": 9353299348,
                "comments": null,
                "filedByFirmName": "US EURO SECURITIES, INC",
                "filedByRegulatorName": null,
                "filingDate": "2020-09-24",
                "occurrenceNumber": 5338275277,
                "pending": "NO",
                "firstReportedDate": "2020-09-24",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "US EURO SECURITIES, INC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "FOUND TO HAVE VIOLATED PRINCIPLES OF N.Y.S.E. RULE 406(1), 408(a) & 440.",
                "filedByFirmCrdNumber": 38839,
                "allegedDamages": null,
                "eventDate": "2020-09-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U4",
                "statusDate": "2018-02-10",
                "filingNumber": 6791632487,
                "comments": null,
                "filedByFirmName": "BROCKINGTON SECURITIES, INC.",
                "filedByRegulatorName": null,
                "filingDate": "2015-05-29",
                "occurrenceNumber": 5338275277,
                "pending": "NO",
                "firstReportedDate": "2015-05-29",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "BROCKINGTON SECURITIES, INC.",
                "filingTypeCode": "AMENDMENT",
                "allegations": "FAILURE TO COMPLY WITH FREE RIDING AND WITHHOLDING ARTICLE III SEC. I RULES OF FAIR PRACTICE IN CONNECTION WITH THE SALE OF 800 UNITS OF TOPOLOGIX. FINE 1500.00",
                "filedByFirmCrdNumber": 37438,
                "allegedDamages": null,
                "eventDate": "2015-03-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U6",
                "statusDate": "2021-03-06",
                "filingNumber": 1492885680,
                "comments": null,
                "filedByFirmName": "CAN-AM SECURITIES, INC.",
                "filedByRegulatorName": null,
                "filingDate": "2020-11-22",
                "occurrenceNumber": 5338275277,
                "pending": "NO",
                "firstReportedDate": "2020-11-22",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "CAN-AM SECURITIES, INC.",
                "filingTypeCode": "AMENDMENT",
                "allegations": "THE CBOE HAS CHARGED THAT DURING THE PERIOD FROM JUNE, 1988 THROUGH NOVEMBER, 1988 THAT PRUDENTIAL SECURITIES INCORPORATED AND MR. BALLAN FAILED TO ADEQUATELY SUPERVISE MR. JOHN S. CZIPRUSZ, WHO WAS A PRUDENTIAL REGISTERED REPRESENTATIVE, BY ALLOWING MR. CZIPRUSZ TO EFFECT OPTIONS TRANSACTIONS IN A CUSTOMER'S ACCOUNTS WHICH TRANSACTIONS WERE UNSUITABLE AND EXCESSIVE IN SIZE IN VIOLATION OF EXCHANGE RULE 4.2. (ADHERENCE TO LAW) AND 9.8 (SUPERVISION OF ACCOUNTS).",
                "filedByFirmCrdNumber": 5160,
                "allegedDamages": null,
                "eventDate": "2020-11-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U6",
                "statusDate": "2019-07-23",
                "filingNumber": 7588634259,
                "comments": null,
                "filedByFirmName": "GEORGE WEISS & COMPANY LLC",
                "filedByRegulatorName": null,
                "filingDate": "2017-12-28",
                "occurrenceNumber": 5338275277,
                "pending": "NO",
                "firstReportedDate": "2017-12-28",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "GEORGE WEISS & COMPANY LLC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "ALLEGATIONS WERE AGAINST CAROLINA SECURITIES CORP. - NO INDIVIDUAL  PERSON WAS NAMED.",
                "filedByFirmCrdNumber": 41526,
                "allegedDamages": null,
                "eventDate": "2017-11-14",
                "satisfies4530Filing": null
            }
        ]
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            },
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10000
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualDisclosureFilingsMock

 

Sample Request Payload
{
"limit":5,
"fields":["issueSymbolIdentifier", "issueName", "totalWeeklyShareQuantity","totalWeeklyTradeCount","lastUpdateDate"],  
"compareFilters": [ 
{  "compareType": "equal", "fieldName": "tierIdentifier", "fieldValue": "T1" },
{  "compareType": "greater", "fieldName": "summaryStartDate", "fieldValue":"2019-09-01"},
{  "compareType": "equal", "fieldName": "summaryTypeCode", "fieldValue": "OTC_W_SMBL" },
{  "compareType": "equal", "fieldName": "issueSymbolIdentifier", "fieldValue" : "AAPL"}
]
}

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1000,
        "disclosureFilings": [
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U6",
                "statusDate": "2017-06-10",
                "filingNumber": 520895659,
                "comments": null,
                "filedByFirmName": "MUSTANG TRADING, LLC",
                "filedByRegulatorName": null,
                "filingDate": "2014-03-15",
                "occurrenceNumber": 5338275277,
                "pending": "YES",
                "firstReportedDate": "2014-03-15",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "PENDING",
                "amendableFlag": "YES",
                "filedByRegulatorNumber": null,
                "employingFirmName": "MUSTANG TRADING, LLC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "ALBANESE & CO. & EUGENE ALBANESE WAS CENSURED & FINED $10U0.00 &  SUSPENDED FROM ASSOCIATION WITH ANY MEMBER FOR A PERIOD OF TWO DAYS FOR VIOLATIONS OF REG T.",
                "filedByFirmCrdNumber": 131608,
                "allegedDamages": null,
                "eventDate": "2013-12-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U4",
                "statusDate": "2019-11-14",
                "filingNumber": 6866436553,
                "comments": null,
                "filedByFirmName": "ALTERNA CAPITAL CORP.",
                "filedByRegulatorName": null,
                "filingDate": "2018-07-21",
                "occurrenceNumber": 5338275277,
                "pending": "YES",
                "firstReportedDate": "2018-07-21",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "PENDING",
                "amendableFlag": "YES",
                "filedByRegulatorNumber": null,
                "employingFirmName": "ALTERNA CAPITAL CORP.",
                "filingTypeCode": "AMENDMENT",
                "allegations": "ALBANESE & CO. WERE CENSURED & FINED $100.00 FOR FILING A INACCURATE FINANCIAL STATEMENT.",
                "filedByFirmCrdNumber": 130233,
                "allegedDamages": null,
                "eventDate": "2018-06-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U4",
                "statusDate": "2018-05-21",
                "filingNumber": 7830760956,
                "comments": null,
                "filedByFirmName": "PETRA TRADING GROUP LLC",
                "filedByRegulatorName": null,
                "filingDate": "2015-11-23",
                "occurrenceNumber": 5338275277,
                "pending": "NO",
                "firstReportedDate": "2015-11-23",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "PETRA TRADING GROUP LLC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "FALSE STATEMENT CHARGED REGARDING PREVIOUS DWI OF 10/12/71 MEDIA PA. CASE #30868",
                "filedByFirmCrdNumber": 131347,
                "allegedDamages": null,
                "eventDate": "2015-09-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U6",
                "statusDate": "2017-04-05",
                "filingNumber": 5909684394,
                "comments": null,
                "filedByFirmName": "SHERIDAN TRADING COMPANY, LLC",
                "filedByRegulatorName": null,
                "filingDate": "2013-11-17",
                "occurrenceNumber": 5338275277,
                "pending": "YES",
                "firstReportedDate": "2013-11-17",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "PENDING",
                "amendableFlag": "YES",
                "filedByRegulatorNumber": null,
                "employingFirmName": "SHERIDAN TRADING COMPANY, LLC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "ALLEGED UNAUTHORIZED TRADES & WILFULLY VIOLATED SECTION 17 (A) OF THE SECURITIES EXCHANGE ACT OF 1934",
                "filedByFirmCrdNumber": 125804,
                "allegedDamages": null,
                "eventDate": "2013-08-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U5",
                "statusDate": "2020-02-21",
                "filingNumber": 3377073673,
                "comments": null,
                "filedByFirmName": "MOODY FINANCIAL GROUP, INC.",
                "filedByRegulatorName": null,
                "filingDate": "2019-01-14",
                "occurrenceNumber": 5338275277,
                "pending": "YES",
                "firstReportedDate": "2019-01-14",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "PENDING",
                "amendableFlag": "YES",
                "filedByRegulatorNumber": null,
                "employingFirmName": "MOODY FINANCIAL GROUP, INC.",
                "filingTypeCode": "AMENDMENT",
                "allegations": "SEC RULE 15CE-1 WAS VIOLATED BY HAVING A NET CAPITAL DEFICIENCY ON 1-29-88 AND 2-29-88",
                "filedByFirmCrdNumber": 37646,
                "allegedDamages": null,
                "eventDate": "2018-12-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U5",
                "statusDate": "2021-02-01",
                "filingNumber": 9353299348,
                "comments": null,
                "filedByFirmName": "US EURO SECURITIES, INC",
                "filedByRegulatorName": null,
                "filingDate": "2020-09-24",
                "occurrenceNumber": 5338275277,
                "pending": "NO",
                "firstReportedDate": "2020-09-24",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "US EURO SECURITIES, INC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "FOUND TO HAVE VIOLATED PRINCIPLES OF N.Y.S.E. RULE 406(1), 408(a) & 440.",
                "filedByFirmCrdNumber": 38839,
                "allegedDamages": null,
                "eventDate": "2020-09-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U4",
                "statusDate": "2018-02-10",
                "filingNumber": 6791632487,
                "comments": null,
                "filedByFirmName": "BROCKINGTON SECURITIES, INC.",
                "filedByRegulatorName": null,
                "filingDate": "2015-05-29",
                "occurrenceNumber": 5338275277,
                "pending": "NO",
                "firstReportedDate": "2015-05-29",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "BROCKINGTON SECURITIES, INC.",
                "filingTypeCode": "AMENDMENT",
                "allegations": "FAILURE TO COMPLY WITH FREE RIDING AND WITHHOLDING ARTICLE III SEC. I RULES OF FAIR PRACTICE IN CONNECTION WITH THE SALE OF 800 UNITS OF TOPOLOGIX. FINE 1500.00",
                "filedByFirmCrdNumber": 37438,
                "allegedDamages": null,
                "eventDate": "2015-03-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U6",
                "statusDate": "2021-03-06",
                "filingNumber": 1492885680,
                "comments": null,
                "filedByFirmName": "CAN-AM SECURITIES, INC.",
                "filedByRegulatorName": null,
                "filingDate": "2020-11-22",
                "occurrenceNumber": 5338275277,
                "pending": "NO",
                "firstReportedDate": "2020-11-22",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "CAN-AM SECURITIES, INC.",
                "filingTypeCode": "AMENDMENT",
                "allegations": "THE CBOE HAS CHARGED THAT DURING THE PERIOD FROM JUNE, 1988 THROUGH NOVEMBER, 1988 THAT PRUDENTIAL SECURITIES INCORPORATED AND MR. BALLAN FAILED TO ADEQUATELY SUPERVISE MR. JOHN S. CZIPRUSZ, WHO WAS A PRUDENTIAL REGISTERED REPRESENTATIVE, BY ALLOWING MR. CZIPRUSZ TO EFFECT OPTIONS TRANSACTIONS IN A CUSTOMER'S ACCOUNTS WHICH TRANSACTIONS WERE UNSUITABLE AND EXCESSIVE IN SIZE IN VIOLATION OF EXCHANGE RULE 4.2. (ADHERENCE TO LAW) AND 9.8 (SUPERVISION OF ACCOUNTS).",
                "filedByFirmCrdNumber": 5160,
                "allegedDamages": null,
                "eventDate": "2020-11-14",
                "satisfies4530Filing": null
            },
            {
                "disclosureTypeCode": "Civil Judicial Action",
                "formTypeCode": "U6",
                "statusDate": "2019-07-23",
                "filingNumber": 7588634259,
                "comments": null,
                "filedByFirmName": "GEORGE WEISS & COMPANY LLC",
                "filedByRegulatorName": null,
                "filingDate": "2017-12-28",
                "occurrenceNumber": 5338275277,
                "pending": "NO",
                "firstReportedDate": "2017-12-28",
                "disclosureTypeName": "civil judicial action",
                "filedByRegulatorCode": null,
                "disclosureStatus": "FINAL",
                "amendableFlag": "NO",
                "filedByRegulatorNumber": null,
                "employingFirmName": "GEORGE WEISS & COMPANY LLC",
                "filingTypeCode": "AMENDMENT",
                "allegations": "ALLEGATIONS WERE AGAINST CAROLINA SECURITIES CORP. - NO INDIVIDUAL  PERSON WAS NAMED.",
                "filedByFirmCrdNumber": 41526,
                "allegedDamages": null,
                "eventDate": "2017-11-14",
                "satisfies4530Filing": null
            }
        ]
    }
]

 

Employments

Deprecated

List of employment records for registered individuals including detailed firm information and termination reason.

Dataset Info:

groupdatasettest dataset
firmregisteredIndividualEmploymentsregisteredIndividualEmploymentsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualEmploymentsMock?limit=5

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "independentContractorFlag": "YES",
                "firmCrdNumber": 3000005,
                "isActive": "YES",
                "employmentStartDate": "2002-10-15",
                "terminationReasonCode": null,
                "fingerprintCardBarCode": "9.637401211E9",
                "fingerprintCardStatusDate": "1971-06-02",
                "individualBillingCode": "U6FOPY5YZX",
                "employmentEndDate": null,
                "isFingerprintStatusFinal": "YES",
                "fingerprintCardDueDate": "1979-05-19",
                "terminationReasonDescription": null,
                "employmentTypeCode": "REGISTERED REPRESENTATIVE/PRINCIPAL"
            }
        ],
        "individualCrdNumber": 1
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "employments": [
            {
                "independentContractorFlag": "NO",
                "firmCrdNumber": 3000005,
                "isActive": "YES",
                "employmentStartDate": "2014-08-25",
                "terminationReasonCode": null,
                "fingerprintCardBarCode": "8.046319478E9",
                "fingerprintCardStatusDate": "1987-01-13",
                "individualBillingCode": "POUOIRX7VN",
                "employmentEndDate": null,
                "isFingerprintStatusFinal": "YES",
                "fingerprintCardDueDate": "1980-10-25",
                "terminationReasonDescription": null,
                "employmentTypeCode": "REGISTERED REPRESENTATIVE/PRINCIPAL AND INVESTMENT ADVISER REPRESENTATIVE"
            }
        ],
        "individualCrdNumber": 10
    },
    {
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "employments": [
            {
                "independentContractorFlag": "NO",
                "firmCrdNumber": 3000005,
                "isActive": "YES",
                "employmentStartDate": "1989-01-11",
                "terminationReasonCode": null,
                "fingerprintCardBarCode": "8.682626078E9",
                "fingerprintCardStatusDate": "1995-10-31",
                "individualBillingCode": "8YSTQHNMEQ",
                "employmentEndDate": null,
                "isFingerprintStatusFinal": "YES",
                "fingerprintCardDueDate": "1982-07-19",
                "terminationReasonDescription": null,
                "employmentTypeCode": "REGISTERED REPRESENTATIVE/PRINCIPAL"
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "independentContractorFlag": "YES",
                "firmCrdNumber": 3000005,
                "isActive": "YES",
                "employmentStartDate": "1999-05-12",
                "terminationReasonCode": null,
                "fingerprintCardBarCode": "7.614008373E9",
                "fingerprintCardStatusDate": "2000-09-14",
                "individualBillingCode": "XCGMIFMO4G",
                "employmentEndDate": null,
                "isFingerprintStatusFinal": "YES",
                "fingerprintCardDueDate": "1973-08-03",
                "terminationReasonDescription": null,
                "employmentTypeCode": "REGISTERED REPRESENTATIVE/PRINCIPAL"
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "employments": [
            {
                "independentContractorFlag": "YES",
                "firmCrdNumber": 3000005,
                "isActive": "YES",
                "employmentStartDate": "1972-03-17",
                "terminationReasonCode": null,
                "fingerprintCardBarCode": "1.659846027E9",
                "fingerprintCardStatusDate": "1974-12-07",
                "individualBillingCode": "D9KLPHVIVF",
                "employmentEndDate": null,
                "isFingerprintStatusFinal": "YES",
                "fingerprintCardDueDate": "1983-10-08",
                "terminationReasonDescription": null,
                "employmentTypeCode": "REGISTERED REPRESENTATIVE/PRINCIPAL"
            },
            {
                "independentContractorFlag": "YES",
                "firmCrdNumber": 3000005,
                "isActive": "YES",
                "employmentStartDate": "2008-10-13",
                "terminationReasonCode": null,
                "fingerprintCardBarCode": "5.838802863E9",
                "fingerprintCardStatusDate": "2010-07-04",
                "individualBillingCode": "UWU6VGDCLM",
                "employmentEndDate": null,
                "isFingerprintStatusFinal": "YES",
                "fingerprintCardDueDate": "1994-02-26",
                "terminationReasonDescription": null,
                "employmentTypeCode": "REGISTERED REPRESENTATIVE/PRINCIPAL"
            }
        ],
        "individualCrdNumber": 10000
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualEmploymentsMock

 

Sample Request Payload
{
"limit":5,
"fields":["individualCrdNumber","employments.isActive","employments.firmCrdNumber","employments.fingerprintCardDueDate","employments.isFingerprintStatusFinal"],  
"compareFilters": [ 
{"compareType": "greater", "fieldName": "individualCrdNumber", "fieldValue":10 }
]
}
 

 

Sample Response
[
    {
        "employments": [
            {
                "isFingerprintStatusFinal": "YES",
                "firmCrdNumber": 3000005,
                "fingerprintCardDueDate": "1982-07-19",
                "isActive": "YES"
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "employments": [
            {
                "isFingerprintStatusFinal": "YES",
                "firmCrdNumber": 3000005,
                "fingerprintCardDueDate": "1973-08-03",
                "isActive": "YES"
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "employments": [
            {
                "isFingerprintStatusFinal": "YES",
                "firmCrdNumber": 3000005,
                "fingerprintCardDueDate": "1983-10-08",
                "isActive": "YES"
            },
            {
                "isFingerprintStatusFinal": "YES",
                "firmCrdNumber": 3000005,
                "fingerprintCardDueDate": "1994-02-26",
                "isActive": "YES"
            }
        ],
        "individualCrdNumber": 10000
    },
    {
        "employments": [
            {
                "isFingerprintStatusFinal": "YES",
                "firmCrdNumber": 3000005,
                "fingerprintCardDueDate": "2001-03-03",
                "isActive": "YES"
            }
        ],
        "individualCrdNumber": 1001
    },
    {
        "employments": [
            {
                "isFingerprintStatusFinal": "YES",
                "firmCrdNumber": 3000005,
                "fingerprintCardDueDate": "1994-08-24",
                "isActive": "YES"
            }
        ],
        "individualCrdNumber": 1002
    }
]

 

FingerPrint

Deprecated

Fingerprint details of Individuals in a Firm.

Dataset Info:

groupdatasettest dataset
firmregisteredIndividualFingerPrintregisteredIndividualFingerPrintMock

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualFingerPrintMock?limit=5

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "fingerprintCardBarCode": "9.637401211E9",
                "fingerprintCardStatusDate": "1971-06-02",
                "isFingerprintStatusFinal": "YES",
                "firmCrdNumber": 3000005,
                "fingerprintCardDueDate": "1979-05-19"
            }
        ],
        "individualCrdNumber": 1
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "employments": [
            {
                "fingerprintCardBarCode": "8.046319478E9",
                "fingerprintCardStatusDate": "1987-01-13",
                "isFingerprintStatusFinal": "YES",
                "firmCrdNumber": 3000005,
                "fingerprintCardDueDate": "1980-10-25"
            }
        ],
        "individualCrdNumber": 10
    },
    {
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "employments": [
            {
                "fingerprintCardBarCode": "8.682626078E9",
                "fingerprintCardStatusDate": "1995-10-31",
                "isFingerprintStatusFinal": "YES",
                "firmCrdNumber": 3000005,
                "fingerprintCardDueDate": "1982-07-19"
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "fingerprintCardBarCode": "7.614008373E9",
                "fingerprintCardStatusDate": "2000-09-14",
                "isFingerprintStatusFinal": "YES",
                "firmCrdNumber": 3000005,
                "fingerprintCardDueDate": "1973-08-03"
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "employments": [
            {
                "fingerprintCardBarCode": "1.659846027E9",
                "fingerprintCardStatusDate": "1974-12-07",
                "isFingerprintStatusFinal": "YES",
                "firmCrdNumber": 3000005,
                "fingerprintCardDueDate": "1983-10-08"
            },
            {
                "fingerprintCardBarCode": "5.838802863E9",
                "fingerprintCardStatusDate": "2010-07-04",
                "isFingerprintStatusFinal": "YES",
                "firmCrdNumber": 3000005,
                "fingerprintCardDueDate": "1994-02-26"
            }
        ],
        "individualCrdNumber": 10000
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualFingerPrintMock

 

Sample Request Payload
{
"limit":5,
"fields":["individualCrdNumber","registrations.regulatorCode","employments.fingerprintCardBarCode",
"employments.fingerprintCardStatusDate","employments.isFingerprintStatusFinal"],  
"compareFilters": [ 
{"compareType": "greater", "fieldName": "individualCrdNumber", "fieldValue":10 }
]
}
 

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "employments": [
            {
                "fingerprintCardBarCode": "8.682626078E9",
                "fingerprintCardStatusDate": "1995-10-31",
                "isFingerprintStatusFinal": "YES"
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "fingerprintCardBarCode": "7.614008373E9",
                "fingerprintCardStatusDate": "2000-09-14",
                "isFingerprintStatusFinal": "YES"
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "employments": [
            {
                "fingerprintCardBarCode": "1.659846027E9",
                "fingerprintCardStatusDate": "1974-12-07",
                "isFingerprintStatusFinal": "YES"
            },
            {
                "fingerprintCardBarCode": "5.838802863E9",
                "fingerprintCardStatusDate": "2010-07-04",
                "isFingerprintStatusFinal": "YES"
            }
        ],
        "individualCrdNumber": 10000
    },
    {
        "registrations": [
            {
                "regulatorCode": "BX"
            },
            {
                "regulatorCode": "CBOE"
            }
        ],
        "employments": [
            {
                "fingerprintCardBarCode": "5.786548603E9",
                "fingerprintCardStatusDate": "1972-10-07",
                "isFingerprintStatusFinal": "YES"
            }
        ],
        "individualCrdNumber": 1001
    },
    {
        "registrations": [
            {
                "regulatorCode": "CBOE EDGX"
            },
            {
                "regulatorCode": "NYSE"
            }
        ],
        "employments": [
            {
                "fingerprintCardBarCode": "2.508134714E9",
                "fingerprintCardStatusDate": "2009-03-05",
                "isFingerprintStatusFinal": "YES"
            }
        ],
        "individualCrdNumber": 1002
    }
]

 

Firm Disclosures

Firm disclosure information.

Dataset Info:

group dataset test dataset
firm firmDisclosures firmDisclosuresMock

 

Sample Request
https://api.finra.org/data/group/firm/name/firmDisclosuresMock?limit=5

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "LTSE"
            },
            {
                "regulatorCode": "SD"
            },
            {
                "regulatorCode": "VSE"
            },
            {
                "regulatorCode": "SRR"
            },
            {
                "regulatorCode": "TOSE"
            },
            {
                "regulatorCode": "LSX"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "CFTC"
            },
            {
                "regulatorCode": "PFS"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FTC"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "TN"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CCFE"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "CBOT"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "CC"
            },
            {
                "regulatorCode": "BX"
            },
            {
                "regulatorCode": "NFX"
            },
            {
                "regulatorCode": "ISE MRX"
            },
            {
                "regulatorCode": "NADF"
            },
            {
                "regulatorCode": "USPS"
            }
        ],
        "firmCrdNumber": 3000005,
        "disclosures": [
            {
                "disclosureType": "CRIMINAL",
                "reportableFlag": "NO",
                "occurrenceNumber": 1064547,
                "eventDate": "1976-06-11",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "ARBTN",
                "reportableFlag": "NO",
                "occurrenceNumber": 2559338,
                "eventDate": "1973-09-19",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "ARBTN",
                "reportableFlag": "NO",
                "occurrenceNumber": 1228140,
                "eventDate": "1977-11-17",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "CUSTCOMP",
                "reportableFlag": "NO",
                "occurrenceNumber": 4726649,
                "eventDate": "2007-07-31",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "ARBTN",
                "reportableFlag": "NO",
                "occurrenceNumber": 5185014,
                "eventDate": "1974-12-22",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "BOND",
                "reportableFlag": "NO",
                "occurrenceNumber": 6750812,
                "eventDate": "1989-11-02",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "BANKRUPT",
                "reportableFlag": "NO",
                "occurrenceNumber": 2694209,
                "eventDate": "1977-10-31",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "CRIMINAL",
                "reportableFlag": "NO",
                "occurrenceNumber": 1327993,
                "eventDate": "1978-05-20",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "INTRNRVW",
                "reportableFlag": "NO",
                "occurrenceNumber": 3082430,
                "eventDate": "1993-11-29",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "BANKRUPT",
                "reportableFlag": "NO",
                "occurrenceNumber": 9242702,
                "eventDate": "1970-07-04",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "CUSTCOMP",
                "reportableFlag": "NO",
                "occurrenceNumber": 7073869,
                "eventDate": "2004-11-28",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "CUSTCOMP",
                "reportableFlag": "NO",
                "occurrenceNumber": 21597,
                "eventDate": "1991-09-22",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "INVSTGTN",
                "reportableFlag": "NO",
                "occurrenceNumber": 1516197,
                "eventDate": "1972-09-25",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "CUSTCOMP",
                "reportableFlag": "NO",
                "occurrenceNumber": 1818524,
                "eventDate": "2003-01-08",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "JUDGEMNT",
                "reportableFlag": "NO",
                "occurrenceNumber": 3616978,
                "eventDate": "1991-02-19",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "ARBTN",
                "reportableFlag": "NO",
                "occurrenceNumber": 2529525,
                "eventDate": "1977-03-11",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            },
            {
                "disclosureType": "ARBTN",
                "reportableFlag": "NO",
                "occurrenceNumber": 9003604,
                "eventDate": "2005-09-03",
                "disclosableFlag": "NO",
                "archivedFlag": "NO"
            }
        ]
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/firmDisclosuresMock

 

Sample Request Payload
{
"limit":5,
"fields":["registrations.regulatorCode","firmCrdNumber","disclosures.disclosureType"] 
}
 

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "LTSE"
            },
            {
                "regulatorCode": "SD"
            },
            {
                "regulatorCode": "VSE"
            },
            {
                "regulatorCode": "SRR"
            },
            {
                "regulatorCode": "TOSE"
            },
            {
                "regulatorCode": "LSX"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "CFTC"
            },
            {
                "regulatorCode": "PFS"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FTC"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "TN"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CCFE"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "CBOT"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "CC"
            },
            {
                "regulatorCode": "BX"
            },
            {
                "regulatorCode": "NFX"
            },
            {
                "regulatorCode": "ISE MRX"
            },
            {
                "regulatorCode": "NADF"
            },
            {
                "regulatorCode": "USPS"
            }
        ],
        "firmCrdNumber": 3000005,
        "disclosures": [
            {
                "disclosureType": "CRIMINAL"
            },
            {
                "disclosureType": "ARBTN"
            },
            {
                "disclosureType": "ARBTN"
            },
            {
                "disclosureType": "CUSTCOMP"
            },
            {
                "disclosureType": "ARBTN"
            },
            {
                "disclosureType": "BOND"
            },
            {
                "disclosureType": "BANKRUPT"
            },
            {
                "disclosureType": "CRIMINAL"
            },
            {
                "disclosureType": "INTRNRVW"
            },
            {
                "disclosureType": "BANKRUPT"
            },
            {
                "disclosureType": "CUSTCOMP"
            },
            {
                "disclosureType": "CUSTCOMP"
            },
            {
                "disclosureType": "INVSTGTN"
            },
            {
                "disclosureType": "CUSTCOMP"
            },
            {
                "disclosureType": "JUDGEMNT"
            },
            {
                "disclosureType": "ARBTN"
            },
            {
                "disclosureType": "ARBTN"
            }
        ]
    }
]

 

Firm Profile

Basic information about a firm.

Dataset Info:

group dataset test dataset
firm firmProfile firmProfileMock

 

Sample Request
https://api.finra.org/data/group/firm/name/firmProfileMock?limit=5

 

Sample Response
[
    {
        "sec8FirmIdentifier": "65620",
        "firmApplicantName": "ATLAS ONE FINANCIAL GROUP, LLC",
        "registrations": [
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "LTSE"
            },
            {
                "regulatorCode": "SD"
            },
            {
                "regulatorCode": "VSE"
            },
            {
                "regulatorCode": "SRR"
            },
            {
                "regulatorCode": "TOSE"
            },
            {
                "regulatorCode": "LSX"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "CFTC"
            },
            {
                "regulatorCode": "PFS"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FTC"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "TN"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CCFE"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "CBOT"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "CC"
            },
            {
                "regulatorCode": "BX"
            },
            {
                "regulatorCode": "NFX"
            },
            {
                "regulatorCode": "ISE MRX"
            },
            {
                "regulatorCode": "NADF"
            },
            {
                "regulatorCode": "USPS"
            }
        ],
        "doingBusinessAsName": "ATLAS ONE FINANCIAL GROUP, LLC",
        "registeredFirmTypeCode": "JOINT",
        "firmFinraDistrict": "9-Woodbridge",
        "firmCrdNumber": 3000005,
        "sec802FirmIdentifier": null,
        "firmAddress": {
            "cityName": "Layton",
            "stateName": "Idaho",
            "countryCode": "USA",
            "postalCode": "89084",
            "addressLine1": "1299 Gracemar",
            "addressLine2": null,
            "stateCode": "ID",
            "countryName": "United States of America"
        },
        "sec801FirmIdentifier": null
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/firmProfileMock

 

Sample Request Payload
{
"limit":5,
"fields":["registrations.regulatorCode","sec8FirmIdentifier","firmApplicantName",
"registeredFirmTypeCode","firmFinraDistrict"] 
}
 

 

Sample Response
[
    {
        "sec8FirmIdentifier": "65620",
        "firmApplicantName": "ATLAS ONE FINANCIAL GROUP, LLC",
        "registrations": [
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "LTSE"
            },
            {
                "regulatorCode": "SD"
            },
            {
                "regulatorCode": "VSE"
            },
            {
                "regulatorCode": "SRR"
            },
            {
                "regulatorCode": "TOSE"
            },
            {
                "regulatorCode": "LSX"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "CFTC"
            },
            {
                "regulatorCode": "PFS"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FTC"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "TN"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CCFE"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "CBOT"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "CC"
            },
            {
                "regulatorCode": "BX"
            },
            {
                "regulatorCode": "NFX"
            },
            {
                "regulatorCode": "ISE MRX"
            },
            {
                "regulatorCode": "NADF"
            },
            {
                "regulatorCode": "USPS"
            }
        ],
        "registeredFirmTypeCode": "JOINT",
        "firmFinraDistrict": "9-Woodbridge"
    }
]

 

Firm Registration Status History

A complete listing of registration notices for a firm.

Dataset Info:

group dataset test dataset
firm firmRegistrationStatusHistory firmRegistrationStatusHistoryMock

 

Sample Request
https://api.finra.org/data/group/firm/name/firmRegistrationStatusHistoryMock?limit=5

 

Sample Response
[
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "Oklahoma",
                "noticeDate": "1970-03-25",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "OK",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "New York",
                "noticeDate": "1970-01-28",
                "noticeReason": "Terminated",
                "statusName": "Terminated",
                "regulatorCode": "NY",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "ELX Futures LP",
                "noticeDate": "1995-11-15",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "ELX",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "Yukon Territory",
                "noticeDate": "1973-04-26",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "YT",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "Comptroller of the Currency",
                "noticeDate": "1991-02-16",
                "noticeReason": "Terminated",
                "statusName": "Terminated",
                "regulatorCode": "CC",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "Chicago Board of Trade",
                "noticeDate": "2012-09-12",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "CBOT",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "Complinet Ltd",
                "noticeDate": "2014-10-18",
                "noticeReason": "Terminated",
                "statusName": "Terminated",
                "regulatorCode": "CMPLNT",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "Guam",
                "noticeDate": "1986-08-09",
                "noticeReason": "Terminated",
                "statusName": "Terminated",
                "regulatorCode": "GU",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "Securities Investment Protection Corporation",
                "noticeDate": "1971-06-28",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "SIPC",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "NYSE Chicago, Inc.",
                "noticeDate": "1976-12-28",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "NYSE-CHI",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "Virgin Islands",
                "noticeDate": "1980-02-24",
                "noticeReason": "Terminated",
                "statusName": "Terminated",
                "regulatorCode": "VI",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "ELX Futures LP",
                "noticeDate": "1986-12-22",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "ELX",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "U.S. Postal Inspection Service",
                "noticeDate": "1981-01-04",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "USPS",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "MEMX LLC",
                "noticeDate": "2003-04-11",
                "noticeReason": "Terminated",
                "statusName": "Terminated",
                "regulatorCode": "MEMX",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "Maryland",
                "noticeDate": "1979-07-13",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "MD",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "Massachusetts",
                "noticeDate": "1997-01-02",
                "noticeReason": "Terminated",
                "statusName": "Terminated",
                "regulatorCode": "MA",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "Commodity Exchange Inc",
                "noticeDate": "1999-06-10",
                "noticeReason": "Terminated",
                "statusName": "Terminated",
                "regulatorCode": "COMEX",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "Connecticut",
                "noticeDate": "1995-09-19",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "CT",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "Alabama",
                "noticeDate": "1982-10-04",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "AL",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "Montana",
                "noticeDate": "1988-11-05",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "MT",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "Securities Information Center",
                "noticeDate": "1975-08-08",
                "noticeReason": "Withdrawn",
                "statusName": "Withdrawn",
                "regulatorCode": "SIC",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "North Dakota",
                "noticeDate": "1996-09-01",
                "noticeReason": "Terminated",
                "statusName": "Terminated",
                "regulatorCode": "ND",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "New Hampshire",
                "noticeDate": "1988-06-23",
                "noticeReason": "Terminated",
                "statusName": "Terminated",
                "regulatorCode": "NH",
                "statusCode": "TERMINATED"
            }
        ],
        "firmCrdNumber": 3000005
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/firmRegistrationStatusHistoryMock

 

Sample Request Payload
{
	"fields":["registrationStatusHistory.regulatorName","registrationStatusHistory.noticeDate",
	"registrationStatusHistory.noticeReason","registrationStatusHistory.regulatorCode"]
}
 

 

Sample Response
[
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "Oklahoma",
                "noticeDate": "1970-03-25",
                "noticeReason": "Withdrawn",
                "regulatorCode": "OK"
            },
            {
                "regulatorName": "New York",
                "noticeDate": "1970-01-28",
                "noticeReason": "Terminated",
                "regulatorCode": "NY"
            },
            {
                "regulatorName": "ELX Futures LP",
                "noticeDate": "1995-11-15",
                "noticeReason": "Withdrawn",
                "regulatorCode": "ELX"
            },
            {
                "regulatorName": "Yukon Territory",
                "noticeDate": "1973-04-26",
                "noticeReason": "Withdrawn",
                "regulatorCode": "YT"
            },
            {
                "regulatorName": "Comptroller of the Currency",
                "noticeDate": "1991-02-16",
                "noticeReason": "Terminated",
                "regulatorCode": "CC"
            },
            {
                "regulatorName": "Chicago Board of Trade",
                "noticeDate": "2012-09-12",
                "noticeReason": "Withdrawn",
                "regulatorCode": "CBOT"
            },
            {
                "regulatorName": "Complinet Ltd",
                "noticeDate": "2014-10-18",
                "noticeReason": "Terminated",
                "regulatorCode": "CMPLNT"
            },
            {
                "regulatorName": "Guam",
                "noticeDate": "1986-08-09",
                "noticeReason": "Terminated",
                "regulatorCode": "GU"
            },
            {
                "regulatorName": "Securities Investment Protection Corporation",
                "noticeDate": "1971-06-28",
                "noticeReason": "Withdrawn",
                "regulatorCode": "SIPC"
            },
            {
                "regulatorName": "NYSE Chicago, Inc.",
                "noticeDate": "1976-12-28",
                "noticeReason": "Withdrawn",
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorName": "Virgin Islands",
                "noticeDate": "1980-02-24",
                "noticeReason": "Terminated",
                "regulatorCode": "VI"
            },
            {
                "regulatorName": "ELX Futures LP",
                "noticeDate": "1986-12-22",
                "noticeReason": "Withdrawn",
                "regulatorCode": "ELX"
            },
            {
                "regulatorName": "U.S. Postal Inspection Service",
                "noticeDate": "1981-01-04",
                "noticeReason": "Withdrawn",
                "regulatorCode": "USPS"
            },
            {
                "regulatorName": "MEMX LLC",
                "noticeDate": "2003-04-11",
                "noticeReason": "Terminated",
                "regulatorCode": "MEMX"
            },
            {
                "regulatorName": "Maryland",
                "noticeDate": "1979-07-13",
                "noticeReason": "Withdrawn",
                "regulatorCode": "MD"
            },
            {
                "regulatorName": "Massachusetts",
                "noticeDate": "1997-01-02",
                "noticeReason": "Terminated",
                "regulatorCode": "MA"
            },
            {
                "regulatorName": "Commodity Exchange Inc",
                "noticeDate": "1999-06-10",
                "noticeReason": "Terminated",
                "regulatorCode": "COMEX"
            },
            {
                "regulatorName": "Connecticut",
                "noticeDate": "1995-09-19",
                "noticeReason": "Withdrawn",
                "regulatorCode": "CT"
            },
            {
                "regulatorName": "Alabama",
                "noticeDate": "1982-10-04",
                "noticeReason": "Withdrawn",
                "regulatorCode": "AL"
            },
            {
                "regulatorName": "Montana",
                "noticeDate": "1988-11-05",
                "noticeReason": "Withdrawn",
                "regulatorCode": "MT"
            },
            {
                "regulatorName": "Securities Information Center",
                "noticeDate": "1975-08-08",
                "noticeReason": "Withdrawn",
                "regulatorCode": "SIC"
            },
            {
                "regulatorName": "North Dakota",
                "noticeDate": "1996-09-01",
                "noticeReason": "Terminated",
                "regulatorCode": "ND"
            },
            {
                "regulatorName": "New Hampshire",
                "noticeDate": "1988-06-23",
                "noticeReason": "Terminated",
                "regulatorCode": "NH"
            }
        ]
    }
]

 

Firm Registrations

Firm registration information

Dataset Info:

group dataset test dataset
firm firmRegistrations firmRegistrationsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/firmRegistrationsMock?limit=5

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorName": "West Virginia",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Terminated",
                "regulatorCode": "WV",
                "effectiveDate": "2009-08-18",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Withdrawn",
                "regulatorCode": "NQX",
                "effectiveDate": "1994-05-25",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "Long-Term Stock Exchange, Inc.",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Withdrawn",
                "regulatorCode": "LTSE",
                "effectiveDate": "2010-08-13",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "South Dakota",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Terminated",
                "regulatorCode": "SD",
                "effectiveDate": "1972-07-07",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "Canadian Venture Exchange",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Withdrawn",
                "regulatorCode": "VSE",
                "effectiveDate": "1984-06-19",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "State Regulatory Registry",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Withdrawn",
                "regulatorCode": "SRR",
                "effectiveDate": "2010-09-12",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "TOKYO STOCK EXCHANGE",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Revoked",
                "regulatorCode": "TOSE",
                "effectiveDate": "2011-03-21",
                "statusCode": "REVOKED"
            },
            {
                "regulatorName": "London Stock Exchange",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Withdrawn",
                "regulatorCode": "LSX",
                "effectiveDate": "2011-05-27",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Revoked",
                "regulatorCode": "NQX",
                "effectiveDate": "2010-06-09",
                "statusCode": "REVOKED"
            },
            {
                "regulatorName": "Commodity Futures Trading Commission",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Revoked",
                "regulatorCode": "CFTC",
                "effectiveDate": "1979-09-15",
                "statusCode": "REVOKED"
            },
            {
                "regulatorName": "American Institute of Certified Public Accountants",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Terminated",
                "regulatorCode": "PFS",
                "effectiveDate": "1987-09-09",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Revoked",
                "regulatorCode": "NYSE",
                "effectiveDate": "1984-04-17",
                "statusCode": "REVOKED"
            },
            {
                "regulatorName": "US Federal Trade Commission",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Approved",
                "regulatorCode": "FTC",
                "effectiveDate": "2000-09-20",
                "statusCode": "APPROVED"
            },
            {
                "regulatorName": "Washington",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Approved",
                "regulatorCode": "WA",
                "effectiveDate": "1987-06-25",
                "statusCode": "APPROVED"
            },
            {
                "regulatorName": "Tennessee",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Approved",
                "regulatorCode": "TN",
                "effectiveDate": "1998-02-14",
                "statusCode": "APPROVED"
            },
            {
                "regulatorName": "California",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Revoked",
                "regulatorCode": "CA",
                "effectiveDate": "2017-02-28",
                "statusCode": "REVOKED"
            },
            {
                "regulatorName": "Chicago Climate Futures Exchange",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Terminated",
                "regulatorCode": "CCFE",
                "effectiveDate": "1988-12-28",
                "statusCode": "TERMINATED"
            },
            {
                "regulatorName": "Idaho",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Withdrawn",
                "regulatorCode": "ID",
                "effectiveDate": "1984-08-11",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "Chicago Board of Trade",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Approved",
                "regulatorCode": "CBOT",
                "effectiveDate": "2011-11-05",
                "statusCode": "APPROVED"
            },
            {
                "regulatorName": "Cboe Exchange, Inc.",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Revoked",
                "regulatorCode": "CBOE",
                "effectiveDate": "1972-06-11",
                "statusCode": "REVOKED"
            },
            {
                "regulatorName": "Colorado",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Approved",
                "regulatorCode": "CO",
                "effectiveDate": "2001-06-27",
                "statusCode": "APPROVED"
            },
            {
                "regulatorName": "Comptroller of the Currency",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Withdrawn",
                "regulatorCode": "CC",
                "effectiveDate": "2015-10-20",
                "statusCode": "WITHDRAWN"
            },
            {
                "regulatorName": "Nasdaq BX, Inc.",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Approved",
                "regulatorCode": "BX",
                "effectiveDate": "2003-02-26",
                "statusCode": "APPROVED"
            },
            {
                "regulatorName": "NASDAQ Futures Exchange",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Revoked",
                "regulatorCode": "NFX",
                "effectiveDate": "1990-06-21",
                "statusCode": "REVOKED"
            },
            {
                "regulatorName": "Nasdaq MRX, LLC",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Approved",
                "regulatorCode": "ISE MRX",
                "effectiveDate": "1995-01-27",
                "statusCode": "APPROVED"
            },
            {
                "regulatorName": "FINRA ALTERNATIVE DISPLAY FACILITY",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Approved",
                "regulatorCode": "NADF",
                "effectiveDate": "1975-03-06",
                "statusCode": "APPROVED"
            },
            {
                "regulatorName": "U.S. Postal Inspection Service",
                "isCurrent": "YES",
                "registrationType": "BD",
                "statusName": "Approved",
                "regulatorCode": "USPS",
                "effectiveDate": "2011-06-09",
                "statusCode": "APPROVED"
            }
        ],
        "firmCrdNumber": 3000005
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/firmRegistrationsMock

 

Sample Request Payload
{
	"fields":["registrations.regulatorName","registrations.isCurrent",
	"registrations.registrationType","registrations.regulatorCode"]
}
 

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorName": "West Virginia",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "WV"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "NQX"
            },
            {
                "regulatorName": "Long-Term Stock Exchange, Inc.",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "LTSE"
            },
            {
                "regulatorName": "South Dakota",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "SD"
            },
            {
                "regulatorName": "Canadian Venture Exchange",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "VSE"
            },
            {
                "regulatorName": "State Regulatory Registry",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "SRR"
            },
            {
                "regulatorName": "TOKYO STOCK EXCHANGE",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "TOSE"
            },
            {
                "regulatorName": "London Stock Exchange",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "LSX"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "NQX"
            },
            {
                "regulatorName": "Commodity Futures Trading Commission",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "CFTC"
            },
            {
                "regulatorName": "American Institute of Certified Public Accountants",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "PFS"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "NYSE"
            },
            {
                "regulatorName": "US Federal Trade Commission",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "FTC"
            },
            {
                "regulatorName": "Washington",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "WA"
            },
            {
                "regulatorName": "Tennessee",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "TN"
            },
            {
                "regulatorName": "California",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "CA"
            },
            {
                "regulatorName": "Chicago Climate Futures Exchange",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "CCFE"
            },
            {
                "regulatorName": "Idaho",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "ID"
            },
            {
                "regulatorName": "Chicago Board of Trade",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "CBOT"
            },
            {
                "regulatorName": "Cboe Exchange, Inc.",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "CBOE"
            },
            {
                "regulatorName": "Colorado",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "CO"
            },
            {
                "regulatorName": "Comptroller of the Currency",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "CC"
            },
            {
                "regulatorName": "Nasdaq BX, Inc.",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "BX"
            },
            {
                "regulatorName": "NASDAQ Futures Exchange",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "NFX"
            },
            {
                "regulatorName": "Nasdaq MRX, LLC",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "ISE MRX"
            },
            {
                "regulatorName": "FINRA ALTERNATIVE DISPLAY FACILITY",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "NADF"
            },
            {
                "regulatorName": "U.S. Postal Inspection Service",
                "isCurrent": "YES",
                "registrationType": "BD",
                "regulatorCode": "USPS"
            }
        ]
    }
]

 

IAR Continuing Education

Deprecated

Continuing education status information for investment adviser representatives.

Dataset Info:

groupdatasettest dataset
firmregisteredIndividualIARContinuingEducationRequirementsregisteredIndividualIARContinuingEducationRequirementsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/registeredIndividualIARcontinuingEducationRequirementsMock?limit=1

 

Sample Response
[
    {
        "iaCeStatusCode": "REQUIRED",
        "iaCeStatusDescription": "IARCE Required",
        "registrations": [
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "CA"
            }
        ],
        "iaCeRequirements": [
            {
                "statusDescription": "IARCE Required",
                "year": 2022,
                "ppCreditsEarned": 5,
                "eprCreditsEarned": 6,
                "statusCode": "REQUIRED"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 1362
            },
            {
                "firmCrdNumber": 641
            }
        ],
        "individualCrdNumber": 123456
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/RegisteredIndividualIARContinuingEducationRequirementsMock

 

Sample Request Payload

 {
	"fields":["individualCrdNumber","iaCeStatusCode","iaCeStatusDescription", "iaCeRequirements.statusDescription", "iaCeRequirements.year","iaCeRequirements.ppCreditsEarned"
	]
}

 

Sample Response
[
    {
        "iaCeStatusCode": "NOTREQUIRED",
        "iaCeStatusDescription": "IARCE Not Required",
        "iaCeRequirements": [
            {
                "statusDescription": "IARCE Not Required",
                "year": 2020,
                "ppCreditsEarned": 1
            },
            {
                "statusDescription": "IARCE Not Required",
                "year": 2021,
                "ppCreditsEarned": 5
            }
        ],
        "individualCrdNumber": 10000
    },
    {
        "iaCeStatusCode": "NOTREQUIRED",
        "iaCeStatusDescription": "IARCE Not Required",
        "iaCeRequirements": [
            {
                "statusDescription": "IARCE Required",
                "year": 2020,
                "ppCreditsEarned": 1
            },
            {
                "statusDescription": "IARCE Not Required",
                "year": 2021,
                "ppCreditsEarned": 2
            },
            {
                "statusDescription": "IARCE Not Required",
                "year": 2022,
                "ppCreditsEarned": 1
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "iaCeStatusCode": "REQUIRED",
        "iaCeStatusDescription": "IARCE Required",
        "iaCeRequirements": [
            {
                "statusDescription": "IARCE Required",
                "year": 2020,
                "ppCreditsEarned": 4
            },
            {
                "statusDescription": "IARCE Required",
                "year": 2021,
                "ppCreditsEarned": 4
            }
        ],
        "individualCrdNumber": 1001
    },
    {
        "iaCeStatusCode": "REQUIRED",
        "iaCeStatusDescription": "IARCE Required",
        "iaCeRequirements": [
            {
                "statusDescription": "IARCE Required",
                "year": 2020,
                "ppCreditsEarned": 3
            },
            {
                "statusDescription": "IARCE Required",
                "year": 2021,
                "ppCreditsEarned": 3
            },
            {
                "statusDescription": "IARCE Not Required",
                "year": 2022,
                "ppCreditsEarned": 2
            }
        ],
        "individualCrdNumber": 1002
    },
    {
        "iaCeStatusCode": "NOTREQUIRED",
        "iaCeStatusDescription": "IARCE Not Required",
        "iaCeRequirements": [
            {
                "statusDescription": "IARCE Required",
                "year": 2020,
                "ppCreditsEarned": 2
            },
            {
                "statusDescription": "IARCE Required",
                "year": 2021,
                "ppCreditsEarned": 5
            }
        ],
        "individualCrdNumber": 1003
    }]

 

Inactive Individual

Deprecated

Basic information about all individuals formerly employed by a firm.

Dataset Info:

groupdatasettest dataset
firminactiveIndividualinactiveIndividualMock

 

Sample Request
https://api.finra.org/data/group/firm/name/inactiveIndividualMock?limit=5

 

Sample Response
[
    {
        "firstName": "LILLIE",
        "lastName": "FENNER",
        "registrations": [
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "BX"
            },
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "BOX"
            },
            {
                "regulatorCode": "IEX"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "otherNames": [
            {
                "firstName": "LILLIE",
                "lastName": "FENNER",
                "suffixName": null,
                "middleName": null
            }
        ],
        "suffixName": null,
        "middleName": "ESTHER",
        "employments": [
            {
                "firmCrdNumber": 79,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 152234,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 37909,
                "isActive": "NO"
            }
        ],
        "individualCrdNumber": 1000005
    },
    {
        "firstName": "DOUGLAS",
        "lastName": "BATES",
        "registrations": [
            {
                "regulatorCode": "AK"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "HI"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "MA"
            },
            {
                "regulatorCode": "NV"
            },
            {
                "regulatorCode": "NJ"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "OR"
            },
            {
                "regulatorCode": "UT"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "WY"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "otherNames": [
            {
                "firstName": "DOUGHAS",
                "lastName": "BATES",
                "suffixName": null,
                "middleName": "K"
            }
        ],
        "suffixName": null,
        "middleName": "K",
        "employments": [
            {
                "firmCrdNumber": 153822,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 116865,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 109394,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 153822,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 361,
                "isActive": "NO"
            }
        ],
        "individualCrdNumber": 1000018
    },
    {
        "firstName": "EDGAR",
        "lastName": "ROBERTSON",
        "registrations": [
            {
                "regulatorCode": "AR"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "FL"
            },
            {
                "regulatorCode": "GA"
            },
            {
                "regulatorCode": "LA"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "GA"
            },
            {
                "regulatorCode": "LA"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "GA"
            },
            {
                "regulatorCode": "LA"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "TX"
            }
        ],
        "otherNames": [
            {
                "firstName": "EDGAR",
                "lastName": "ROBERTSON",
                "suffixName": null,
                "middleName": "CHARLES JR"
            }
        ],
        "suffixName": "JR",
        "middleName": "CHARLES",
        "employments": [
            {
                "firmCrdNumber": 10409,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 615,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 14251,
                "isActive": "NO"
            }
        ],
        "individualCrdNumber": 1000048
    },
    {
        "firstName": "DENNIS",
        "lastName": "THAYER",
        "registrations": [
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "CT"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "PA"
            },
            {
                "regulatorCode": "PA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "suffixName": null,
        "middleName": "NOEL",
        "employments": [
            {
                "firmCrdNumber": 5435,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 15840,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 115368,
                "isActive": "NO"
            }
        ],
        "individualCrdNumber": 1000057
    },
    {
        "firstName": "KENNETH",
        "lastName": "NIGG",
        "registrations": [
            {
                "regulatorCode": "AL"
            },
            {
                "regulatorCode": "AL"
            },
            {
                "regulatorCode": "AK"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "AR"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "CT"
            },
            {
                "regulatorCode": "DE"
            },
            {
                "regulatorCode": "DC"
            },
            {
                "regulatorCode": "FL"
            },
            {
                "regulatorCode": "GA"
            },
            {
                "regulatorCode": "HI"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "IN"
            },
            {
                "regulatorCode": "IA"
            },
            {
                "regulatorCode": "KS"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "LA"
            },
            {
                "regulatorCode": "ME"
            },
            {
                "regulatorCode": "MD"
            },
            {
                "regulatorCode": "MA"
            },
            {
                "regulatorCode": "MI"
            },
            {
                "regulatorCode": "MN"
            },
            {
                "regulatorCode": "MS"
            },
            {
                "regulatorCode": "MO"
            },
            {
                "regulatorCode": "MT"
            },
            {
                "regulatorCode": "NE"
            },
            {
                "regulatorCode": "NV"
            },
            {
                "regulatorCode": "NH"
            },
            {
                "regulatorCode": "NJ"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "NC"
            },
            {
                "regulatorCode": "ND"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "OR"
            },
            {
                "regulatorCode": "PA"
            },
            {
                "regulatorCode": "PR"
            },
            {
                "regulatorCode": "RI"
            },
            {
                "regulatorCode": "SC"
            },
            {
                "regulatorCode": "SD"
            },
            {
                "regulatorCode": "TN"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "UT"
            },
            {
                "regulatorCode": "VT"
            },
            {
                "regulatorCode": "VA"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "WI"
            },
            {
                "regulatorCode": "WY"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "IN"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "PA"
            },
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "IN"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "IN"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "NJ"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "TN"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "otherNames": [
            {
                "firstName": "KENNETH",
                "lastName": "NIGG",
                "suffixName": null,
                "middleName": "JOE"
            },
            {
                "firstName": "KENNETH",
                "lastName": "NIGG",
                "suffixName": null,
                "middleName": null
            },
            {
                "firstName": "KEN",
                "lastName": "NIGG",
                "suffixName": null,
                "middleName": null
            },
            {
                "firstName": "KENNETH",
                "lastName": "NIGG",
                "suffixName": null,
                "middleName": null
            }
        ],
        "suffixName": null,
        "middleName": "JOE",
        "employments": [
            {
                "firmCrdNumber": 7784,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 5393,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 22305,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 104235,
                "isActive": "NO"
            },
            {
                "firmCrdNumber": 128605,
                "isActive": "NO"
            }
        ],
        "individualCrdNumber": 1000065
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/inactiveIndividualMock

 

Sample Request Payload
{
"limit":2,
"fields":["firstName","lastName","individualCrdNumber","registrations.regulatorCode"]
}

 

Sample Response
[
    {
        "firstName": "LILLIE",
        "lastName": "FENNER",
        "registrations": [
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "BX"
            },
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "BOX"
            },
            {
                "regulatorCode": "IEX"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "individualCrdNumber": 1000005
    },
    {
        "firstName": "DOUGLAS",
        "lastName": "BATES",
        "registrations": [
            {
                "regulatorCode": "AK"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "HI"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "MA"
            },
            {
                "regulatorCode": "NV"
            },
            {
                "regulatorCode": "NJ"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "OR"
            },
            {
                "regulatorCode": "UT"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "WY"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "individualCrdNumber": 1000018
    }
]

 

Inactive Individual Branch Office Locations

Deprecated

Branch information for all individuals formerly employed by a firm.

Dataset Info:

groupdatasettest dataset
firminactiveIndividualBranchOfficeLocationsinactiveIndividualBranchOfficeLocationsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/inactiveIndividualBranchOfficeLocationsMock?limit=5

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "BX"
            },
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "BOX"
            },
            {
                "regulatorCode": "IEX"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "branchOfficeLocations": [
            {
                "nonRegisteredBranchIdentifier": 6843192,
                "officeLocationEndDate": "2018-04-01",
                "firmCrdNumber": 79,
                "officeLocationStartDate": "2015-04-15",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": null,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": "2018-04-01",
                "firmCrdNumber": 79,
                "officeLocationStartDate": "2015-04-15",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": 200878,
                "officeLocationType": "SUPERVISED FROM"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": "2013-07-31",
                "firmCrdNumber": 152234,
                "officeLocationStartDate": "2013-05-14",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": 425558,
                "officeLocationType": "SUPERVISED FROM"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": "2012-01-30",
                "firmCrdNumber": 37909,
                "officeLocationStartDate": "2010-06-21",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": 74306,
                "officeLocationType": "SUPERVISED FROM"
            }
        ],
        "individualCrdNumber": 1000005
    },
    {
        "registrations": [
            {
                "regulatorCode": "AK"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "HI"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "MA"
            },
            {
                "regulatorCode": "NV"
            },
            {
                "regulatorCode": "NJ"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "OR"
            },
            {
                "regulatorCode": "UT"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "WY"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "branchOfficeLocations": [
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": "2013-03-07",
                "firmCrdNumber": 153822,
                "officeLocationStartDate": "2009-01-16",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": 441807,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": "2022-01-12",
                "firmCrdNumber": 116865,
                "officeLocationStartDate": "2001-09-01",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": 60883,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": "2010-04-14",
                "firmCrdNumber": 109394,
                "officeLocationStartDate": "1998-01-01",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": 60884,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": 5743697,
                "officeLocationEndDate": "2010-06-08",
                "firmCrdNumber": 153822,
                "officeLocationStartDate": "2010-06-03",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": null,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": 899490,
                "officeLocationEndDate": "1997-12-19",
                "firmCrdNumber": 361,
                "officeLocationStartDate": "1983-06-16",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": null,
                "officeLocationType": "LOCATED AT"
            }
        ],
        "individualCrdNumber": 1000018
    },
    {
        "registrations": [
            {
                "regulatorCode": "AR"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "FL"
            },
            {
                "regulatorCode": "GA"
            },
            {
                "regulatorCode": "LA"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "GA"
            },
            {
                "regulatorCode": "LA"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "GA"
            },
            {
                "regulatorCode": "LA"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "TX"
            }
        ],
        "branchOfficeLocations": [
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": "2018-05-25",
                "firmCrdNumber": 10409,
                "officeLocationStartDate": "2017-03-25",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": 658989,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": "2015-01-02",
                "firmCrdNumber": 615,
                "officeLocationStartDate": "2006-01-06",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": 72084,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": 899580,
                "officeLocationEndDate": "2006-01-06",
                "firmCrdNumber": 615,
                "officeLocationStartDate": "1981-06-09",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": null,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": "2017-03-25",
                "firmCrdNumber": 14251,
                "officeLocationStartDate": "2015-01-02",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": 165203,
                "officeLocationType": "LOCATED AT"
            }
        ],
        "individualCrdNumber": 1000048
    },
    {
        "registrations": [
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "CT"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "PA"
            },
            {
                "regulatorCode": "PA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "branchOfficeLocations": [
            {
                "nonRegisteredBranchIdentifier": 899626,
                "officeLocationEndDate": "1998-11-25",
                "firmCrdNumber": 5435,
                "officeLocationStartDate": "1981-06-11",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": null,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": 899629,
                "officeLocationEndDate": "2002-02-09",
                "firmCrdNumber": 15840,
                "officeLocationStartDate": "1999-01-04",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": null,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": "2016-09-05",
                "firmCrdNumber": 115368,
                "officeLocationStartDate": "2002-02-09",
                "officeLocationRoleText": "Person in Charge",
                "branchCrdNumber": 136782,
                "officeLocationType": "LOCATED AT"
            }
        ],
        "individualCrdNumber": 1000057
    },
    {
        "registrations": [
            {
                "regulatorCode": "AL"
            },
            {
                "regulatorCode": "AL"
            },
            {
                "regulatorCode": "AK"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "AR"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "CT"
            },
            {
                "regulatorCode": "DE"
            },
            {
                "regulatorCode": "DC"
            },
            {
                "regulatorCode": "FL"
            },
            {
                "regulatorCode": "GA"
            },
            {
                "regulatorCode": "HI"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "IN"
            },
            {
                "regulatorCode": "IA"
            },
            {
                "regulatorCode": "KS"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "LA"
            },
            {
                "regulatorCode": "ME"
            },
            {
                "regulatorCode": "MD"
            },
            {
                "regulatorCode": "MA"
            },
            {
                "regulatorCode": "MI"
            },
            {
                "regulatorCode": "MN"
            },
            {
                "regulatorCode": "MS"
            },
            {
                "regulatorCode": "MO"
            },
            {
                "regulatorCode": "MT"
            },
            {
                "regulatorCode": "NE"
            },
            {
                "regulatorCode": "NV"
            },
            {
                "regulatorCode": "NH"
            },
            {
                "regulatorCode": "NJ"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "NC"
            },
            {
                "regulatorCode": "ND"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "OR"
            },
            {
                "regulatorCode": "PA"
            },
            {
                "regulatorCode": "PR"
            },
            {
                "regulatorCode": "RI"
            },
            {
                "regulatorCode": "SC"
            },
            {
                "regulatorCode": "SD"
            },
            {
                "regulatorCode": "TN"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "UT"
            },
            {
                "regulatorCode": "VT"
            },
            {
                "regulatorCode": "VA"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "WI"
            },
            {
                "regulatorCode": "WY"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "IN"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "PA"
            },
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "IN"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "IN"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "NJ"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "TN"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "branchOfficeLocations": [
            {
                "nonRegisteredBranchIdentifier": 899664,
                "officeLocationEndDate": "1992-01-01",
                "firmCrdNumber": 7784,
                "officeLocationStartDate": "1986-08-18",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": null,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": 899661,
                "officeLocationEndDate": "2003-07-17",
                "firmCrdNumber": 5393,
                "officeLocationStartDate": "1993-01-18",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": null,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": 899667,
                "officeLocationEndDate": "1992-10-20",
                "firmCrdNumber": 22305,
                "officeLocationStartDate": "1992-01-20",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": null,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": 899671,
                "officeLocationEndDate": "2004-05-28",
                "firmCrdNumber": 104235,
                "officeLocationStartDate": "2003-09-19",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": null,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": "2015-07-22",
                "firmCrdNumber": 128605,
                "officeLocationStartDate": "2006-08-14",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": 298880,
                "officeLocationType": "LOCATED AT"
            },
            {
                "nonRegisteredBranchIdentifier": null,
                "officeLocationEndDate": "2019-11-22",
                "firmCrdNumber": 128605,
                "officeLocationStartDate": "2004-05-28",
                "officeLocationRoleText": "STAFF",
                "branchCrdNumber": 131206,
                "officeLocationType": "LOCATED AT"
            }
        ],
        "individualCrdNumber": 1000065
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/inactiveIndividualBranchOfficeLocationsMock

 

Sample Request Payload
{
"limit":2,
"fields":["individualCrdNumber","registrations.regulatorCode","branchOfficeLocations.firmCrdNumber",
"branchOfficeLocations.branchCrdNumber"]
}
 

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "BX"
            },
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "BOX"
            },
            {
                "regulatorCode": "IEX"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "branchOfficeLocations": [
            {
                "firmCrdNumber": 79,
                "branchCrdNumber": null
            },
            {
                "firmCrdNumber": 79,
                "branchCrdNumber": 200878
            },
            {
                "firmCrdNumber": 152234,
                "branchCrdNumber": 425558
            },
            {
                "firmCrdNumber": 37909,
                "branchCrdNumber": 74306
            }
        ],
        "individualCrdNumber": 1000005
    },
    {
        "registrations": [
            {
                "regulatorCode": "AK"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "HI"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "MA"
            },
            {
                "regulatorCode": "NV"
            },
            {
                "regulatorCode": "NJ"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "OR"
            },
            {
                "regulatorCode": "UT"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "WY"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "branchOfficeLocations": [
            {
                "firmCrdNumber": 153822,
                "branchCrdNumber": 441807
            },
            {
                "firmCrdNumber": 116865,
                "branchCrdNumber": 60883
            },
            {
                "firmCrdNumber": 109394,
                "branchCrdNumber": 60884
            },
            {
                "firmCrdNumber": 153822,
                "branchCrdNumber": null
            },
            {
                "firmCrdNumber": 361,
                "branchCrdNumber": null
            }
        ],
        "individualCrdNumber": 1000018
    }
]

 

Inactive Individual Employments

Deprecated

Employment information for all indivdiuals formely employed by a firm.

Dataset Info:

groupdatasettest dataset
firminactiveIndividualEmploymentsinactiveIndividualEmploymentsMock

 

Sample Request
https://api.finra.org/data/group/firm/name/inactiveIndividualEmploymentsMock?limit=5

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "BX"
            },
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "BOX"
            },
            {
                "regulatorCode": "IEX"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "employments": [
            {
                "employmentStartDate": "2015-04-15",
                "terminationReasonCode": "OTHER",
                "independentContractorFlag": "NO",
                "terminationFiling": {
                    "filingDate": "2018-04-25",
                    "filingType": "FULL"
                },
                "individualBillingCode": "JPM-OPS",
                "employmentEndDate": "2018-04-01",
                "firmCrdNumber": 79,
                "isActive": "NO",
                "terminationReasonDescription": "Position No Longer Requires Registration",
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "2013-05-14",
                "terminationReasonCode": "VOLUNTARY",
                "independentContractorFlag": "YES",
                "terminationFiling": {
                    "filingDate": "2013-07-31",
                    "filingType": "FULL"
                },
                "individualBillingCode": null,
                "employmentEndDate": "2013-07-31",
                "firmCrdNumber": 152234,
                "isActive": "NO",
                "terminationReasonDescription": "FIRM CEASED OPERATIONS",
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "2010-06-21",
                "terminationReasonCode": "DISCHARGE",
                "independentContractorFlag": "YES",
                "terminationFiling": {
                    "filingDate": "2012-02-06",
                    "filingType": "FULL"
                },
                "individualBillingCode": "37909",
                "employmentEndDate": "2012-01-30",
                "firmCrdNumber": 37909,
                "isActive": "NO",
                "terminationReasonDescription": "FIRM SUSPENDED OPERATIONS",
                "employmentTypeCode": ""
            }
        ],
        "individualCrdNumber": 1000005
    },
    {
        "registrations": [
            {
                "regulatorCode": "AK"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "HI"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "MA"
            },
            {
                "regulatorCode": "NV"
            },
            {
                "regulatorCode": "NJ"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "OR"
            },
            {
                "regulatorCode": "UT"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "WY"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "employments": [
            {
                "employmentStartDate": "2009-01-16",
                "terminationReasonCode": null,
                "independentContractorFlag": "NO",
                "individualBillingCode": null,
                "employmentEndDate": "2013-05-06",
                "firmCrdNumber": 153822,
                "isActive": "NO",
                "terminationReasonDescription": null,
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "2001-09-01",
                "terminationReasonCode": "VOLUNTARY",
                "independentContractorFlag": "NO",
                "terminationFiling": {
                    "filingDate": "2022-01-12",
                    "filingType": "FULL"
                },
                "individualBillingCode": null,
                "employmentEndDate": "2022-01-12",
                "firmCrdNumber": 116865,
                "isActive": "NO",
                "terminationReasonDescription": null,
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "1998-01-01",
                "terminationReasonCode": null,
                "independentContractorFlag": "NO",
                "individualBillingCode": null,
                "employmentEndDate": "2010-04-14",
                "firmCrdNumber": 109394,
                "isActive": "NO",
                "terminationReasonDescription": null,
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "2010-06-03",
                "terminationReasonCode": null,
                "independentContractorFlag": null,
                "individualBillingCode": null,
                "employmentEndDate": "2010-06-08",
                "firmCrdNumber": 153822,
                "isActive": "NO",
                "terminationReasonDescription": null,
                "employmentTypeCode": "NON-REGISTERED FINGERPRINT INDIVIDUAL"
            },
            {
                "employmentStartDate": "1983-06-16",
                "terminationReasonCode": "VOLUNTARY",
                "independentContractorFlag": "NO",
                "individualBillingCode": null,
                "employmentEndDate": "1997-12-19",
                "firmCrdNumber": 361,
                "isActive": "NO",
                "terminationReasonDescription": null,
                "employmentTypeCode": ""
            }
        ],
        "individualCrdNumber": 1000018
    },
    {
        "registrations": [
            {
                "regulatorCode": "AR"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "FL"
            },
            {
                "regulatorCode": "GA"
            },
            {
                "regulatorCode": "LA"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "GA"
            },
            {
                "regulatorCode": "LA"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "GA"
            },
            {
                "regulatorCode": "LA"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "TX"
            }
        ],
        "employments": [
            {
                "employmentStartDate": "2017-03-25",
                "terminationReasonCode": "VOLUNTARY",
                "independentContractorFlag": "YES",
                "terminationFiling": {
                    "filingDate": "2018-05-30",
                    "filingType": "FULL"
                },
                "individualBillingCode": "83K",
                "employmentEndDate": "2018-05-25",
                "firmCrdNumber": 10409,
                "isActive": "NO",
                "terminationReasonDescription": null,
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "1981-06-09",
                "terminationReasonCode": "VOLUNTARY",
                "independentContractorFlag": "YES",
                "individualBillingCode": "127",
                "employmentEndDate": "2015-01-02",
                "firmCrdNumber": 615,
                "isActive": "NO",
                "terminationReasonDescription": "MASS TRANSFER = 168529",
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "2015-01-02",
                "terminationReasonCode": "VOLUNTARY",
                "independentContractorFlag": "NO",
                "individualBillingCode": "83K",
                "employmentEndDate": "2017-03-25",
                "firmCrdNumber": 14251,
                "isActive": "NO",
                "terminationReasonDescription": "MASS TRANSFER = 45983604",
                "employmentTypeCode": ""
            }
        ],
        "individualCrdNumber": 1000048
    },
    {
        "registrations": [
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "CT"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "PA"
            },
            {
                "regulatorCode": "PA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "employments": [
            {
                "employmentStartDate": "1981-06-11",
                "terminationReasonCode": "OTHER",
                "independentContractorFlag": "NO",
                "individualBillingCode": null,
                "employmentEndDate": "1998-11-25",
                "firmCrdNumber": 5435,
                "isActive": "NO",
                "terminationReasonDescription": "NONDISCIPILINARY TERMINATION PURSUANT TO THETERMS OF THE CONTRACT.",
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "1999-01-04",
                "terminationReasonCode": null,
                "independentContractorFlag": "NO",
                "individualBillingCode": "1617",
                "employmentEndDate": "2002-02-09",
                "firmCrdNumber": 15840,
                "isActive": "NO",
                "terminationReasonDescription": null,
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "2002-02-09",
                "terminationReasonCode": "DECEASED",
                "independentContractorFlag": "YES",
                "terminationFiling": {
                    "filingDate": "2016-09-15",
                    "filingType": "FULL"
                },
                "individualBillingCode": "1617",
                "employmentEndDate": "2016-09-05",
                "firmCrdNumber": 115368,
                "isActive": "NO",
                "terminationReasonDescription": null,
                "employmentTypeCode": ""
            }
        ],
        "individualCrdNumber": 1000057
    },
    {
        "registrations": [
            {
                "regulatorCode": "AL"
            },
            {
                "regulatorCode": "AL"
            },
            {
                "regulatorCode": "AK"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "AR"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "CT"
            },
            {
                "regulatorCode": "DE"
            },
            {
                "regulatorCode": "DC"
            },
            {
                "regulatorCode": "FL"
            },
            {
                "regulatorCode": "GA"
            },
            {
                "regulatorCode": "HI"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "IN"
            },
            {
                "regulatorCode": "IA"
            },
            {
                "regulatorCode": "KS"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "LA"
            },
            {
                "regulatorCode": "ME"
            },
            {
                "regulatorCode": "MD"
            },
            {
                "regulatorCode": "MA"
            },
            {
                "regulatorCode": "MI"
            },
            {
                "regulatorCode": "MN"
            },
            {
                "regulatorCode": "MS"
            },
            {
                "regulatorCode": "MO"
            },
            {
                "regulatorCode": "MT"
            },
            {
                "regulatorCode": "NE"
            },
            {
                "regulatorCode": "NV"
            },
            {
                "regulatorCode": "NH"
            },
            {
                "regulatorCode": "NJ"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "NC"
            },
            {
                "regulatorCode": "ND"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "OR"
            },
            {
                "regulatorCode": "PA"
            },
            {
                "regulatorCode": "PR"
            },
            {
                "regulatorCode": "RI"
            },
            {
                "regulatorCode": "SC"
            },
            {
                "regulatorCode": "SD"
            },
            {
                "regulatorCode": "TN"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "UT"
            },
            {
                "regulatorCode": "VT"
            },
            {
                "regulatorCode": "VA"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "WI"
            },
            {
                "regulatorCode": "WY"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "IN"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "PA"
            },
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "OH"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "IN"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "IN"
            },
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "NJ"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "TN"
            },
            {
                "regulatorCode": "TX"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "employments": [
            {
                "employmentStartDate": "1986-08-18",
                "terminationReasonCode": "VOLUNTARY",
                "independentContractorFlag": "NO",
                "individualBillingCode": "123",
                "employmentEndDate": "1992-01-01",
                "firmCrdNumber": 7784,
                "isActive": "NO",
                "terminationReasonDescription": null,
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "1993-01-18",
                "terminationReasonCode": "VOLUNTARY",
                "independentContractorFlag": "NO",
                "terminationFiling": {
                    "filingDate": "2003-08-05",
                    "filingType": "FULL"
                },
                "individualBillingCode": "506",
                "employmentEndDate": "2003-07-17",
                "firmCrdNumber": 5393,
                "isActive": "NO",
                "terminationReasonDescription": null,
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "1992-01-20",
                "terminationReasonCode": "VOLUNTARY",
                "independentContractorFlag": "NO",
                "individualBillingCode": "200",
                "employmentEndDate": "1992-10-20",
                "firmCrdNumber": 22305,
                "isActive": "NO",
                "terminationReasonDescription": "Voluntary",
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "2003-09-19",
                "terminationReasonCode": "VOLUNTARY",
                "independentContractorFlag": "NO",
                "terminationFiling": {
                    "filingDate": "2004-05-28",
                    "filingType": "FULL"
                },
                "individualBillingCode": "CHIL12",
                "employmentEndDate": "2004-05-28",
                "firmCrdNumber": 104235,
                "isActive": "NO",
                "terminationReasonDescription": null,
                "employmentTypeCode": ""
            },
            {
                "employmentStartDate": "2004-05-28",
                "terminationReasonCode": "VOLUNTARY",
                "independentContractorFlag": "YES",
                "terminationFiling": {
                    "filingDate": "2019-11-25",
                    "filingType": "FULL"
                },
                "individualBillingCode": null,
                "employmentEndDate": "2019-11-22",
                "firmCrdNumber": 128605,
                "isActive": "NO",
                "terminationReasonDescription": null,
                "employmentTypeCode": ""
            }
        ],
        "individualCrdNumber": 1000065
    }
]

 

Sample Request
https://api.finra.org/data/group/firm/name/inactiveIndividualEmploymentsMock

 

Sample Request Payload
{
"limit":2,
"fields":["individualCrdNumber","registrations.regulatorCode","employments.terminationReasonDescription"]
}
 

 

Sample Response
[
    {
        "registrations": [
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "BX"
            },
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "BOX"
            },
            {
                "regulatorCode": "IEX"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "employments": [
            {
                "terminationReasonDescription": "Position No Longer Requires Registration"
            },
            {
                "terminationReasonDescription": "FIRM CEASED OPERATIONS"
            },
            {
                "terminationReasonDescription": "FIRM SUSPENDED OPERATIONS"
            }
        ],
        "individualCrdNumber": 1000005
    },
    {
        "registrations": [
            {
                "regulatorCode": "AK"
            },
            {
                "regulatorCode": "AZ"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "CO"
            },
            {
                "regulatorCode": "HI"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "IL"
            },
            {
                "regulatorCode": "MA"
            },
            {
                "regulatorCode": "NV"
            },
            {
                "regulatorCode": "NJ"
            },
            {
                "regulatorCode": "NM"
            },
            {
                "regulatorCode": "NY"
            },
            {
                "regulatorCode": "OK"
            },
            {
                "regulatorCode": "OR"
            },
            {
                "regulatorCode": "UT"
            },
            {
                "regulatorCode": "WA"
            },
            {
                "regulatorCode": "WY"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "FINRA"
            },
            {
                "regulatorCode": "CBOE"
            },
            {
                "regulatorCode": "PHLX"
            },
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "CA"
            },
            {
                "regulatorCode": "ID"
            },
            {
                "regulatorCode": "FINRA"
            }
        ],
        "employments": [
            {
                "terminationReasonDescription": null
            },
            {
                "terminationReasonDescription": null
            },
            {
                "terminationReasonDescription": null
            },
            {
                "terminationReasonDescription": null
            },
            {
                "terminationReasonDescription": null
            }
        ],
        "individualCrdNumber": 1000018
    }
]

 

Inactive Individual Registration Status History

Deprecated

Registration status history for all individuals formerly employed by a firm.

Dataset Info:

groupdatasettest dataset
firminactiveIndividualRegistrationStatusHistoryinactiveIndividualRegistrationStatusHistoryMock

 

Sample Request
https://api.finra.org/data/group/firm/name/inactiveIndividualRegistrationStatusHistoryMock?limit=2

 

Sample Response
[
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "Investment Banking Representative",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Deficient",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2010-06-22"
            },
            {
                "regulatorName": "New York",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Deficient",
                "regulatorCode": "NY",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2010-06-22"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APPRNT",
                "registrationCategoryName": "Investment Banking Representative",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Approved Pending Prints",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2010-06-30"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APRSLTS",
                "registrationCategoryName": "Investment Banking Representative",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Approved Pending Results",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2010-07-09"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "Investment Banking Representative",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Approved",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2010-07-09"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Deficient",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2010-07-13"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Research Analyst",
                "registrationCategoryCode": "RS",
                "registrationStatusName": "Termed Without Registration",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2012-02-06"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Investment Banking Representative",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Termed",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2012-02-06"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "NQX",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2012-02-06"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2012-02-06"
            },
            {
                "regulatorName": "New York",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "NY",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2012-02-06"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Deficient",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-05-14"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "Investment Banking Representative",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Deficient",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-05-14"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "Research Principal",
                "registrationCategoryCode": "RP",
                "registrationStatusName": "Deficient",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-05-14"
            },
            {
                "regulatorName": "New York",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Deficient",
                "regulatorCode": "NY",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-05-14"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2010-08-18"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "PURGED",
                "registrationCategoryName": "Research Analyst",
                "registrationCategoryCode": "RS",
                "registrationStatusName": "Purged",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2011-03-08"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved",
                "regulatorCode": "NQX",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2011-07-26"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "Research Analyst",
                "registrationCategoryCode": "RS",
                "registrationStatusName": "Deficient",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2010-09-09"
            },
            {
                "regulatorName": "New York",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Approved",
                "regulatorCode": "NY",
                "firmCrdNumber": 37909,
                "firmName": "KAUFMAN BROS., L.P.",
                "statusEffectiveDate": "2010-09-08"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APRSLTS",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved Pending Results",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-07-09"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APRSLTS",
                "registrationCategoryName": "Investment Banking Representative",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Approved Pending Results",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-07-09"
            },
            {
                "regulatorName": "New York",
                "registrationStatusCode": "PENDING",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Pending",
                "regulatorCode": "NY",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-06-21"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Inactive - Prints",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-06-24"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "registrationCategoryName": "Investment Banking Representative",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Inactive - Prints",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-06-24"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-07-10"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "Investment Banking Representative",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Approved",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-07-10"
            },
            {
                "regulatorName": "New York",
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed Without Registration",
                "regulatorCode": "NY",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-07-31"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-07-31"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Investment Banking Representative",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Termed",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-07-31"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Research Principal",
                "registrationCategoryCode": "RP",
                "registrationStatusName": "Termed Without Registration",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-07-31"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APRSLTS",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved Pending Results",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-27"
            },
            {
                "regulatorName": "Nasdaq BX, Inc.",
                "registrationStatusCode": "APRSLTS",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved Pending Results",
                "regulatorCode": "BX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-27"
            },
            {
                "regulatorName": "Nasdaq PHLX LLC",
                "registrationStatusCode": "APRSLTS",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved Pending Results",
                "regulatorCode": "PHLX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-27"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "APRSLTS",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved Pending Results",
                "regulatorCode": "NQX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-27"
            },
            {
                "regulatorName": "BOX Exchange LLC",
                "registrationStatusCode": "APRSLTS",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved Pending Results",
                "regulatorCode": "BOX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-27"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-27"
            },
            {
                "regulatorName": "Nasdaq BX, Inc.",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved",
                "regulatorCode": "BX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-27"
            },
            {
                "regulatorName": "Nasdaq PHLX LLC",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved",
                "regulatorCode": "PHLX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-27"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved",
                "regulatorCode": "NQX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-27"
            },
            {
                "regulatorName": "BOX Exchange LLC",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved",
                "regulatorCode": "BOX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
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