Documentation | FINRA API Developer Center

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.

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.

The use of the FINRA API Service including the entitlement of FINRA Entitlement User Accounts with the API Console Entitlement by an SAA/AA, the creation of Individual User Accounts, and the creation of API Credentials by API Console users, is governed by the FINRA API Terms of Service.

Additionally, specific API Products and/or individual datasets may have specific terms associated with their use. These specific terms are incorporated into the overall Terms of Service by reference and are shown below as well as included in the document section for the specific product or dataset.

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.

API Console Access

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.

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:

All firms must be registered in the CRD System as affiliates.
All firms must request access to the FINRA API Console using the API Console Entitlement Request Form.
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.

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.

Organizations without an FEA

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.

Organizations with an Existing FEA

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 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.

Firm User

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.

Organization User

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.

Individual User

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:

Check your SPAM filter or JUNK MAIL folders for the credential email
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.
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.

Firm Credential Type

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.

Organization Credential Type

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.

Public Credential Type

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.

Mock Credential Type

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.

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.

Your First Credential

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.

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

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.

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.

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.

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

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).
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.
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.
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).
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.
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.
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.
Note that the API Secret expires in one year and will need to be reset it via the API Console (feature coming soon).

An email notification reminder regarding the expiration of API Credential passwords will be sent 30 days and 7 days before the password expiration date. The email notification will be sent to the owner of the API Credential.

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

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:

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.
Use "access_token" returned from FIP as a Bearer token in the Authorization Header to invoke the required FINRA API endpoint(s).
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.

Example FIP Access Token Request/Response

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"
}

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

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.

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.

Request Throttling

The API platform enforces the following throttling limits for Query, Submission and Notification APIs:

Synchronous requests: 1200 requests per minute per IP address.
Asynchronous requests: 20 requests per minute per dataset per API account

Responsible Use Guidelines

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:

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.
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.
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.
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.
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.
Utilize asynchronous requests in combination with the available historical datasets (e.g. weeklySummaryHistorical).
Brute force algorithms that simply run 24*7*365 and continuously access the same data are never appropriate and are subject to being blocked.

Response Size Limits

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.

Record Limit

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

Synchronous requests will return a maximum of 5000 records for any one API request
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).

Payload Size Limit

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

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

Working with Large Datasets

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.

Response Headers

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:

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).
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.

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.

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.

Example Error Response

nothing

{
"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"
}
}

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

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

Important:

All API requests must use HTTPS protocol.

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.
Requirements to 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:

FIP endpoint for generating an access_token: https://ews-qaint.fip.finra.org/fip/rest/ews/oauth2/access_token?grant_type=client_credentials
API Console (QA): https://gateway-qaint.qa.finra.org/app/
The base resource URL for the test FINRA API Platform is https://api-int.qa.finra.org

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}

/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.

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

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.

Asynchronous Requests

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"

Action

Request

Response

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.

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"
}

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).

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:

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.
Sorting is not supported on historical datasets (.e.g weeklySummaryHistoric).

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}

Optional Request Parameters

None.

Request Headers

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

Sample

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"
        }
    ]
}

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

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

Optional Request Parameters

None.

Sample

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"
            ]
        }
    ]
}

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}

Optional Request Parameters

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

Request Headers

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

Sample

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"

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}

Request Payload Parameters

parameter	description	example	default
fields	Comma delimited list of field names to retrieve.	"fields" : ["mpid","issuesymbolidentifier" ]	all fields are returned
compareFilters	Used 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
dateRangeFilters	Used 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
domainFilters	Used 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" : 5000	1000
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
quoteValues	Can be used to specify quoted values when Accept header is set to text/plain.	"quoteValues" : false	true
delimiter	Can 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
async	The API request type. Set to true to specify an asynchronous request. Set to false to specify an synchronous request.	"async" : true	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.	[ "-last_updated"]	sorting not performed

Request Headers

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

Sample

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"

}

]

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

GET /versions

Optional Request Parameters

None.

Request Headers

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

Sample

Request

https://api.finra.org/versions

Response

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

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.

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

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

Equity Data

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

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

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
otcMarket	blocksSummary	blocksSummaryMock

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

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
    }
]

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

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)"
    }
]

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

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
otcMarket	consolidatedShortInterest	consolidatedShortInterestMock

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

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
    }
]

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

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

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
otcMarket	monthlySummary	monthlySummaryMock

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

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"
    }
]

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

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
    }
]

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

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
otcMarket	otcBlocksSummary	otcBlocksSummaryMock

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

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
    }
]

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

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"
    }
]

Daily short sale aggregated volume by security for all short sale trades executed and reported to a FINRA trade reporting facility.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
otcMarket	regShoDaily	regShoDailyMock

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

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
    }
]

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

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
    }
]

OTC Regulation SHO and Rule 4320 Threshold Securities.

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
otcMarket	thresholdList	thresholdListMock

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

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"
    }
]

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

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

API Explorer (Playground)

TEST IT OUT

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset	historical dataset
otcMarket	weeklySummary	weeklySummaryMock	weeklySummaryHistoric

Dataset Details

weeklySummary: The weeklySummary production dataset contains a rolling twelve months of data.
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.

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

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"
    }
]

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

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"
    }
]

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's current and historical rules and regulations

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
finra	finraRulebook	finraRulebookMock

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.

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

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 -->"
    }
]

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

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.        "
    }
]

Breakdown of securities industry registered firms by type of registration.

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
finra	industrySnapshotFirmsByRegistrationType	industrySnapshotFirmsByRegistrationTypeMock

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

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"
    }
]

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

See the available datasets below.

4530 customer complaint filings submitted by your firm.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	4530filings	4530filingsMock

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

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"
    }
]

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

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
    }
]

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

Key highlights:

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

See the available datasets below.

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

Fixed Income Data

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

Market breadth calculations for Agency debt securities.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
fixedIncomeMarket	agencyMarketBreadth	agencyMarketBreadthMock

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

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
    }
]

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

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"
    }
]

Market sentiment calculations for Agency debt securities.

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
fixedIncomeMarket	agencyMarketSentiment	agencyMarketSentimentMock

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

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"
    }
]

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

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"
    }
]

Market breadth calculations for Rule 144A corporate debt securities.

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
fixedIncomeMarket	corporate144AMarketBreadth	corporate144AMarketBreadthMock

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

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
    }
]

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

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
    }
]

Market sentiment calculations for Rule 144A corporate debt securities.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
fixedIncomeMarket	corporate144AMarketSentiment	corporate144AMarketSentimentMock

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

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"
    }
]

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

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"
    }
]

Capped volume calculations for corporate and agency debt.

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
fixedIncomeMarket	corporatesAndAgenciesCappedVolume	corporatesAndAgenciesCappedVolumeMock

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

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
    }
]

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

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
    }
]

Market breadth calculations for corporate debt securities.

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
fixedIncomeMarket	corporateMarketBreadth	corporateMarketBreadthMock

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

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
    }
]

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

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
    }
]

Market sentiment calculations for corporate debt securities.

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
fixedIncomeMarket	corporateMarketSentiment	corporateMarketSentimentMock

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

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"
    }
]

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

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
    }
]

Capped volume calculations for securitized products.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
fixedIncomeMarket	securitizedProductsCappedVolume	securitizedProductsCappedVolumeMock

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

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"
    }
]

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

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
    }
]

Daily trading volume in US Treasury Securities reported to TRACE.

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
fixedIncomeMarket	treasuryDailyAggregates	treasuryDailyAggregatesMock

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

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"
    }
]

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

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
    }
]

Monthly trading volume in US Treasury Securities reported to TRACE.

API Credential Types

Public

Firm

Organization

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
fixedIncomeMarket	treasuryMonthlyAggregates	treasuryMonthlyAggregatesMock

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

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"
    }
]

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

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"
    }
]

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

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

Firm Registration Data

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

Provides accounting transactions for a given date range.

API Credential Types

Firm

Quicklinks

Accounting Schema

Dataset Info:

group	dataset	mock dataset
registration	accounting	accountingMock

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

Dataset Details

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.

Following are the available parameters for the dataset

Field Required Format
startDate Yes YYYY-MM-DD
endDate No YYYY-MM-DD
The dataset compares the provided date range with the invoice date. The transaction is included in the response if the invoice date falls within the specified date range.
An accounting transaction is included in the response if the invoice date is within the last 30 days from the current date. For example: If the transaction invoice date is 5/1/2024 , the transaction will appear in the accounting dataset response until 5/31/2024, based on the specified date range.
For transaction types such as "transfer" and "deposit" which do not have an invoice date, the dataset compares the provided date range with the posting date. The transaction is included in the response if the posting date falls within the specified date range.
The dataset encompasses fields covered in the Post Accounting WebEFT report.
The dataset support synchronous calls and can be utilized using only GET operation.

Field	Required	Format
startDate	Yes	YYYY-MM-DD
endDate	No	YYYY-MM-DD

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

Sample Request

https://api.finra.org/data/group/registration/name/accountingMock?startDate=2024-05-01

Sample Response

[
    {
        "controlTotal": 330,
        "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"
            }
        ]
    }
]

Get altered identifiers of registered individuals in the QA Test Environment.

API Credential Types

Firm

Dataset Info:

group	dataset
registration	alteredSSNandDOB

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

Dataset Details

The Altered SSN and DOB Dataset provides an ability for firms to get altered SSN and DOB of registered individuals in the QA Test Environment.

The dataset is available only in QA Test environment and NOT in production.
The dataset supports synchronous calls and can be utilized using only POST.
Dataset returns the following fields:

Field Description
individualCRDNumber Individual CRD Number
dateOfBirth Altered DOB of the individual
ssn Altered SSN of the individual
Parameter for the dataset

Field Required Format Array Limit
individualCrdNumbers Yes array Supports upto 25 indivdiualCrdNumbers per call

Field	Required	Format	Array Limit
individualCrdNumbers	Yes	array	Supports upto 25 indivdiualCrdNumbers per call

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

Sample Request

https://api.finra.org/data/group/registration/name/alteredSSNandDOB

Sample Request Body

{
    "metaData": {
        "individualCrdNumbers": [
            111172,12222,123456,78910
        ]
    }
}

Sample Response

[
    {
        "unreportedIndividuals": [
            78910
        ],
        "individuals": [
            {
                "individualCRDNumber": 111172,
                "dateOfBirth": "1973-04-11",
                "ssn": "452-44-1163"
            },
            {
                "individualCRDNumber": 12222,
                "dateOfBirth": "1996-06-08",
                "ssn": "709-72-1132"
            },
            {
                "individualCRDNumber": 123456,
                "dateOfBirth": "1993-11-28",
                "ssn": "042-80-7049"
            }
        ]
    }
]

Annual Reg Element continuing education status information for registered individuals.

API Credential Types

Firm

Quicklinks

Metadata

Mapping between Deprecated Datasets and Composite Datasets

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualAnnualCERequirements	registeredIndividualAnnualCERequirementsMock

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

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"
    }
]

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

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
    }
]

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

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualBranchOfficeLocations	registeredIndividualBranchOfficeLocationsMock

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

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
    }
]

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

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"
            }
        ]
    }
]

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

API Credential Types

Firm

Dataset Info:

group	dataset	test dataset
registration	branchDelta	branchDeltaMock

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

Dataset Details

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.

Dataset returns the following fields:

Field	Description
branchCRDNumber	Branch CRD Number
lastUpdatedDateTime	DateTime in UTC when the branch information was updated or added
updateType	Possible values are "I" or "U" I: Indicates a new branch has been added U: Indicates the branch's information has been updated

Following are the available parameters for the dataset

Field Required Format
startDateTime Yes YYYY-MM-DDTHH:MM:SS.SSSZ
endDateTime No YYYY-MM-DDTHH:MM:SS.SSSZ
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.
The dataset support synchronous calls and can be utilized using only GET

Field	Required	Format
startDateTime	Yes	YYYY-MM-DDTHH:MM:SS.SSSZ
endDateTime	No	YYYY-MM-DDTHH:MM:SS.SSSZ

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

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"
    }
]

Provides a list of active branches for a calling FIRM.

API Credential Types

Firm

Dataset Info:

group	dataset	test dataset
registration	branchList	branchListMock

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

Dataset Details

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

Dataset returns the following field:
Field Description
branchCRDNumber Branch CRD Number
The dataset support synchronous calls and can be utilized using only GET

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

Sample Request

https://api.finra.org/data/group/registration/name/branchListMock

Sample Response

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

Summary information about each branch associated with a firm.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	branchOffice	branchOfficeMock

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

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
    }
]

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

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
            }
        ]
    }
]

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

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	branchOfficeAssociatedIndividuals	branchOfficeAssociatedIndividualsMock

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

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
    }
]

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

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
    }
]

Detailed information about each branch associated with a firm.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	branchOfficeDetails	branchOfficeDetailsMock

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

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
    }
]

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

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"
    }
]

Financial activities conducted at each branch associated with a firm.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	branchOfficeFinancialActivities	branchOfficeFinancialActivitiesMock

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

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
    }
]

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

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
    }
]

Location information for each branch associated with a firm.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	branchOfficeLocations	branchOfficeLocationsMock

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

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
    }
]

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

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
    }
]

Registration information for each branch.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	branchOfficeRegistrations	branchOfficeRegistrationsMock

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

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
    }
]

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

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
    }
]

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

API Credential Types

Firm

Quicklinks

Composite Branch Schema

Mapping between Composite Branch and WebEFT Reports

Dataset Info:

group	dataset	mock dataset
registration	compositeBranch	compositeBranchMock

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

Dataset Details

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.

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
The dataset supports only synchronous calls.
Available parameters for the dataset are

Parameter Required Example
branchCRDNumber Yes 12345

Following sections are available for the dataset. The sections are not required. Users can use one or many sections at a time.

Composite Branch Dataset Sections	Details
registrations	Includes branch registration details.
clearedDeficiencies	Includes cleared deficiencies for the branch
generalInformation	generalInformation section includes following details financialActivity records identifyingInformation otherBusiness location arrangements status
deficiencies	Includes active deficiencies
individuals	Includes individuals associated with the branch

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

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
                }
            ]
        }
    ]
}

GET /data/group/{group}/name/{dataset} - Using Section Filters

Sample Request

https://api.finra.org/data/group/registration/name/compositebranchmock?branchCrdNumber=12345&sections=registrations,individuals

Sample Response

  [
   {
      "registrations":[
         {
            "clearedDeficiencies":[
               
            ],
            "regulatorIdentifier":1,
            "instanceNumber":33911,
            "deficiencies":[
               
            ],
            "typeCode":"NTCFLNG",
            "status":{
               "date":"1986-01-05",
               "code":"OPEN"
            }
         },
         {
            "clearedDeficiencies":[
               
            ],
            "regulatorIdentifier":50006,
            "instanceNumber":96508,
            "deficiencies":[
               
            ],
            "typeCode":"NTCFLNG",
            "status":{
               "date":"2014-04-04",
               "code":"OPEN"
            }
         }
      ],
      "firmCrdNumber":111,
      "branchCrdNumber":12345,
      "individuals":[
         {
            "role":{
               "code":"OSJSUPERVISOR"
            },
            "officeOfSupervisoryJurisdiction":[
               {
                  "firmBillingCode":"1213",
                  "branchCrdNumber":825
               }
            ],
            "individualCrdNumber":60000
         },
         {
            "role":{
               "beginDate":"2021-05-21",
               "code":"PERSONINCHARGE"
            },
            "instanceNumber":"17142565",
            "individualCrdNumber":7000
         }
      ]
   }
]

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

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Quicklinks

Schema

Mapping between Composite Individual and WebEFT Reports

Dataset Info:

group	dataset	test dataset
registration	compositeIndividual	compositeIndividualMock

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

Dataset Details

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.

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
Schema for the dataset is here.
The dataset supports synchronous calls.
Available parameters for the dataset are
Parameter Required Example Note
individualCRDNumber Yes 12345
sections No AnnualContinuingEducation
AnnualContinuingEducation,events Each API call can support one or more filters at once

Following sections are available for the dataset.

Composite Individual Dataset Sections	Description	Notes	WebEFT IIR section
AnnualContinuingEducation	Annual CE		CEInformation
InvestmentAdviserContinuingEducation	IA CE		CEInformation
occurrences	Disclosure Occurrences		ReportableDisclosureInformation NonReportableDisclosureInformation
events	Filing Events		FilingHistory
exams	Exam History		ExamInformation ExamWaiverInformation
firmAssociations	Firm Associations	Information provided for only calling firm Fingerprint Registration Firm Info Location Detail Information provided for affiliated firms Firm Info Location Detail	FingerprintInformation RegistrationsByCurrentEmployment AffiliatedFirm OfficeOfEmploymentHistory
individual	Individual		OtherNames IdentifyingInformation ProfessionalDesignations ResidentialHistory EmploymentHistory OtherBusiness

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

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",
                            "courtCaseNumberPIIFlag": "N",
                            "disclosureEventDateDetails": {
                                "date": "2008-10-23"
                            },
                            "dispositionTypeCode": "PAID",
                            "disclosureEventTypeCode": "TAX",
                            "judgementLienOwedAmount": 6771.19,
                            "lienHolderName": "Commissioner of Taxation and Finance",
                            "dispositionDateDetails": {
                                "date": "2009-05-19"
                            }
                        }
                    }
                ],
                "discloseToPublicFlag": "N"
            },
            {
                "reportableFlag": "N",
                "occurrenceIdentifier": 1826609,
                "disclosures": [
                    {
                        "disclosureTypeCode": "JUDGEMNT",
                        "amendment": false,
                        "identifier": 7841510,
                        "disclosureVersion": "05/2009",
                        "finraReceivedDate": "2015-09-21",
                        "questions": "14M",
                        "submittingFirmCrdNumber": 793,
                        "filingIdentifier": 41899188,
                        "judgementLien": {
                            "disclosureDiscoveredDateDetails": {
                                "date": "2009-08-10",
                                "dateExplanation": "Not sure of the exact date"
                            },
                            "courtDetails": {
                                "courtTypeCode": "OTHER",
                                "courtName": "Internal Revenue Service",
                                "courtLocation": "Mineola,NY",
                                "courtTypeOtherText": "Recorder of Deeds"
                            },
                            "disclosureEventPendingFlag": "N",
                            "courtCaseNumberPIIFlag": "N",
                            "disclosureEventDateDetails": {
                                "date": "2009-07-10"
                            },
                            "dispositionTypeCode": "RELEASED",
                            "disclosureEventTypeCode": "TAX",
                            "judgementLienOwedAmount": 117255.98,
                            "lienHolderName": "IRS",
                            "dispositionDateDetails": {
                                "date": "2014-01-17"
                            }
                        }
                    }
                ],
                "discloseToPublicFlag": "N"
            },
            {
                "reportableFlag": "N",
                "occurrenceIdentifier": 1826608,
                "disclosures": [
                    {
                        "disclosureTypeCode": "JUDGEMNT",
                        "amendment": false,
                        "identifier": 7841515,
                        "disclosureVersion": "05/2009",
                        "finraReceivedDate": "2015-09-21",
                        "questions": "14M",
                        "submittingFirmCrdNumber": 793,
                        "filingIdentifier": 41899188,
                        "judgementLien": {
                            "disclosureDiscoveredDateDetails": {
                                "date": "2008-04-03",
                                "dateExplanation": "not sure of the exact date"
                            },
                            "courtDetails": {
                                "courtTypeCode": "OTHER",
                                "courtName": "Internal Revenue Service",
                                "courtLocation": "Mineola,NY",
                                "courtTypeOtherText": "IRS"
                            },
                            "disclosureEventPendingFlag": "N",
                            "courtCaseNumberPIIFlag": "N",
                            "disclosureEventDateDetails": {
                                "date": "2008-03-03"
                            },
                            "dispositionTypeCode": "RELEASED",
                            "disclosureEventTypeCode": "TAX",
                            "judgementLienOwedAmount": 36805.18,
                            "lienHolderName": "IRS",
                            "dispositionDateDetails": {
                                "date": "2012-09-12"
                            }
                        }
                    }
                ],
                "discloseToPublicFlag": "N"
            },
            {
                "reportableFlag": "N",
                "occurrenceIdentifier": 1826607,
                "disclosures": [
                    {
                        "disclosureTypeCode": "JUDGEMNT",
                        "amendment": false,
                        "identifier": 7841525,
                        "disclosureVersion": "05/2009",
                        "finraReceivedDate": "2015-09-21",
                        "questions": "14M",
                        "submittingFirmCrdNumber": 793,
                        "filingIdentifier": 41899188,
                        "judgementLien": {
                            "disclosureDiscoveredDateDetails": {
                                "date": "2007-07-26",
                                "dateExplanation": "Not Sure of the exact date"
                            },
                            "courtDetails": {
                                "courtTypeCode": "OTHER",
                                "courtName": "Internal Revenue Service",
                                "courtLocation": "Mineola,NY",
                                "courtTypeOtherText": "IRS"
                            },
                            "disclosureEventPendingFlag": "N",
                            "courtCaseNumberPIIFlag": "N",
                            "disclosureEventDateDetails": {
                                "date": "2007-06-26"
                            },
                            "dispositionTypeCode": "RELEASED",
                            "disclosureEventTypeCode": "TAX",
                            "judgementLienOwedAmount": 33092.78,
                            "lienHolderName": "IRS",
                            "dispositionDateDetails": {
                                "date": "2012-08-22"
                            }
                        }
                    }
                ],
                "discloseToPublicFlag": "N"
            },
            {
                "reportableFlag": "N",
                "occurrenceIdentifier": 1523769,
                "disclosures": [
                    {
                        "disclosureTypeCode": "BANKRUPT",
                        "amendment": false,
                        "identifier": 1466607,
                        "disclosureVersion": "05/2009",
                        "finraReceivedDate": "2011-02-08",
                        "questions": "14K(1)",
                        "submittingFirmCrdNumber": 249,
                        "bankruptcy": {
                            "courtActionDetails": {
                                "courtTypeCode": "FEDERAL",
                                "courtName": "UHITED STATES BANKRUPTYC COURT",
                                "courtLocation": "EASTERN DISTRICT OF NEW YORK"
                            },
                            "disclosureEventPendingFlag": "N",
                            "courtCaseNumberPIIFlag": "N",
                            "bankruptcyActionTypeCode": "BANKRUPTCY",
                            "disclosureEventDateDetails": {
                                "date": "2010-08-10",
                                "exactDate": "Y"
                            },
                            "dispositionDetails": {
                                "dispositionTypeCode": "DISCHARGED",
                                "dispositionDateDetails": {
                                    "date": "2011-01-14",
                                    "exactDate": "Y"
                                }
                            },
                            "bankruptcyActionChapterTypeCode": "CHAPTER07"
                        },
                        "filingIdentifier": 51453261
                    }
                ],
                "discloseToPublicFlag": "N"
            },
            {
                "reportableFlag": "N",
                "occurrenceIdentifier": 1508722,
                "disclosures": [
                    {
                        "disclosureTypeCode": "JUDGEMNT",
                        "amendment": true,
                        "identifier": 1452216,
                        "disclosureVersion": "05/2009",
                        "finraReceivedDate": "2012-02-10",
                        "questions": "14M",
                        "submittingFirmCrdNumber": 793,
                        "filingIdentifier": 31929715,
                        "judgementLien": {
                            "courtDetails": {
                                "courtTypeCode": "STATE",
                                "courtName": "SUPREME",
                                "courtLocation": "NASSAU COUNTY, NEW YORK"
                            },
                            "disclosureEventPendingFlag": "N",
                            "courtCaseNumberPIIFlag": "N",
                            "disclosureEventDateDetails": {
                                "date": "2009-09-02"
                            },
                            "dispositionTypeCode": "DISCHARGED",
                            "disclosureEventTypeCode": "CIVIL",
                            "judgementLienOwedAmount": 61506.27,
                            "lienHolderName": "KEN WEINSTIEN",
                            "dispositionDateDetails": {
                                "date": "2012-01-14"
                            }
                        }
                    }
                ],
                "discloseToPublicFlag": "N"
            },
            {
                "reportableFlag": "N",
                "occurrenceIdentifier": 1466638,
                "disclosures": [
                    {
                        "disclosureTypeCode": "JUDGEMNT",
                        "amendment": true,
                        "identifier": 1409515,
                        "disclosureVersion": "05/2009",
                        "finraReceivedDate": "2015-12-17",
                        "questions": "14M",
                        "submittingFirmCrdNumber": 793,
                        "filingIdentifier": 42556065,
                        "judgementLien": {
                            "disclosureDiscoveredDateDetails": {
                                "date": "2009-07-07",
                                "dateExplanation": "DO NOT KNOW THE DATE IT WAS FILED BY THE IRS"
                            },
                            "courtDetails": {
                                "courtTypeCode": "OTHER",
                                "courtName": "IRS",
                                "courtLocation": "KANSAS CITY, MD",
                                "courtTypeOtherText": "IRS"
                            },
                            "disclosureEventPendingFlag": "N",
                            "courtCaseNumberPIIFlag": "Y",
                            "disclosureEventDateDetails": {
                                "date": "2009-07-07",
                                "dateExplanation": "DO NOT KNOW THE DATE IT WAS FILED BY THE IRS"
                            },
                            "dispositionTypeCode": "RELEASED",
                            "disclosureEventTypeCode": "TAX",
                            "judgementLienOwedAmount": 66412.17,
                            "lienHolderName": "IRS",
                            "commentText": "THE AMOUNT OF THIS LEVY IS NOT CORRECT AS MY 2008 TAXES WERE FILED IN JUNE 2009 AND THERE IS A REFUND DUE THAT WOULD CHANGE AMOUNT OF LEVY.  ALSO I HAVE HAD AND CONTINUE TO HAVE DISUCSSIONS WITH IRS TO CREATE AN INSTALLMENT AGREEMENT FOR TAXES OWED AND COMPLETE A PAYMENT AGREEMENT.",
                            "dispositionDateDetails": {
                                "date": "2014-01-17"
                            }
                        }
                    }
                ],
                "discloseToPublicFlag": "N"
            },
            {
                "reportableFlag": "N",
                "occurrenceIdentifier": 1544,
                "disclosures": [
                    {
                        "disclosureTypeCode": "ARBTN",
                        "regulatorName": "FINRA",
                        "amendment": false,
                        "identifier": 400159,
                        "sroArbitration": {
                            "arbitrationAuthorityName": "NASD",
                            "employingFirmName": "SHEARSON LEHMAN BROTHERS, INC.",
                            "disclosureEventDetailText": "MISREPRESENTATION; BRCH OF FIDUCIARY DT;\r\nACCOUNT RELATED - FAILURE TO SUPERVISE; OMISSION OF FACTS",
                            "disclosureEventDate": "1993-05-17",
                            "caseNumberText": "93-01713",
                            "disclosureEventPendingFlag": "N",
                            "caseName": "EDWARD NORDAN VS. SHEARSON LEHMAN BROTHERS,\r\nINC., JONATHAN S. GOLD, ROBERT FINKELSTEIN AND JODY EISENMAN",
                            "allegationAmount": 65627,
                            "dispositionDetails": {
                                "dispositionTypeCode": "OTHER",
                                "dispositionDetailText": "CASE IS CLOSED, BY HEARING\r\nPUNITIVE/EXEMPLARY DAMAGES, RELIEF\r\nREQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES,\r\nRELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF\r\nREQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS\r\nBEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS\r\nBEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN\r\nDENIED IN FULL",
                                "dispositionDate": "1994-02-11"
                            }
                        },
                        "disclosureVersion": "10/2005",
                        "finraReceivedDate": "1994-02-11",
                        "filingIdentifier": 152713
                    }
                ],
                "discloseToPublicFlag": "N"
            }
        ],
        "exams": [
            {
                "score": "0",
                "code": "S65",
                "enrollmentIdentifier": 0,
                "id": 17425033,
                "updateTimestamp": "1999-06-18T00:00:00",
                "status": {
                    "date": "1999-06-18",
                    "code": "EXPIRED"
                }
            },
            {
                "code": "S63",
                "enrollmentIdentifier": 0,
                "gradeCode": "PASSED",
                "validity": "Y",
                "id": 17425032,
                "dateTaken": "1982-10-05",
                "updateTimestamp": "2018-09-29T15:17:49.185381",
                "status": {
                    "date": "1982-10-05",
                    "code": "OFFICIAL_RESULT"
                }
            },
            {
                "code": "S63",
                "enrollmentIdentifier": 0,
                "gradeCode": "PASSED",
                "id": 17425032,
                "dateTaken": "1982-10-05",
                "updateTimestamp": "2018-09-29T11:59:01.47111",
                "status": {
                    "date": "1982-10-05",
                    "code": "OFFICIAL_RESULT"
                }
            },
            {
                "score": "76",
                "code": "S63",
                "enrollmentIdentifier": 0,
                "gradeCode": "PASSED",
                "id": 17425032,
                "dateTaken": "1982-10-05",
                "updateTimestamp": "1982-10-05T00:00:00",
                "status": {
                    "date": "1982-10-05",
                    "code": "OFFICIAL_RESULT"
                }
            },
            {
                "code": "S65",
                "enrollmentIdentifier": 0,
                "windowBeginDate": "2012-03-16",
                "id": 17425035,
                "updateTimestamp": "2012-07-16T00:15:34",
                "status": {
                    "date": "2012-07-16",
                    "code": "EXPIRED"
                },
                "windowEndDate": "2012-07-14"
            },
            {
                "score": "194",
                "code": "S7",
                "enrollmentIdentifier": 0,
                "gradeCode": "PASSED",
                "id": 17425037,
                "dateTaken": "1982-01-16",
                "updateTimestamp": "1982-01-16T00:00:00",
                "status": {
                    "date": "1982-01-16",
                    "code": "OFFICIAL_RESULT"
                }
            },
            {
                "code": "SIE",
                "validity": "Y",
                "id": 37127971,
                "updateTimestamp": "2018-09-29T15:17:49.179676",
                "status": {
                    "date": "2018-10-01",
                    "code": "CREDIT"
                }
            },
            {
                "code": "S65",
                "enrollmentIdentifier": 57342946,
                "id": 35289612,
                "updateTimestamp": "2015-10-29T09:48:05.804166",
                "status": {
                    "date": "2015-10-29",
                    "code": "REQUESTED"
                }
            }
        ],
        "individual": {
            "employmentHistory": [
                {
                    "employmentStartDate": "2017-08-01",
                    "nonIndustryEmploymentsInstanceNumber": 11019534,
                    "address": {
                        "cityName": "JERICHO",
                        "countryCode": "USA",
                        "countryLongName": "United States",
                        "postalCode": null,
                        "stateCode": "NY"
                    },
                    "employerFirmName": "FINRA",
                    "investmentRelatedIndicator": "Y",
                    "positionDescription": "FINANCIAL ADVISOR"
                },
                {
                    "employmentStartDate": "2012-02-01",
                    "nonIndustryEmploymentsInstanceNumber": 7229675,
                    "address": {
                        "cityName": "GARDEN CITY",
                        "countryCode": "USA",
                        "countryLongName": "United States",
                        "postalCode": null,
                        "stateCode": "NY"
                    },
                    "employerFirmName": "STIFEL NICOLAUS & CO INC",
                    "investmentRelatedIndicator": "Y",
                    "positionDescription": "FINANCIAL ADVISOR",
                    "employmentEndDate": "2017-08-01"
                },
                {
                    "employmentStartDate": "2007-12-01",
                    "nonIndustryEmploymentsInstanceNumber": 4252505,
                    "address": {
                        "cityName": "PHILADELPHIA",
                        "countryCode": "USA",
                        "countryLongName": "United States",
                        "postalCode": null,
                        "stateCode": "PA"
                    },
                    "employerFirmName": "TEST FIRM 2",
                    "investmentRelatedIndicator": "Y",
                    "positionDescription": "REGISTERED REPRESENTATIVE",
                    "employmentEndDate": "2012-02-01"
                }
            ],
            "regulatoryStatus": {
                "militaryDeferralApproved": "N",
                "statutorilyDisqualifiedStatusCode": "BLNK"
            },
            "biometrics": {
                "genderCode": "M",
                "heightInInches": 11,
                "heightInFeet": 5,
                "hairColorCode": "BRO",
                "weight": 185,
                "eyeColorCode": "BRO"
            },
            "aliases": [],
            "personalInformation": {
                "countryCodeOfBirth": "USA",
                "individualName": {
                    "firstName": "MATT",
                    "lastName": "SMITH",
                    "middleName": "SCOTT"
                },
                "dateOfBirth": "1962-06-01",
                "stateOfBirth": "NY"
            },
            "crdNumber": 12345,
            "iaAffiliations": [],
            "anyDisclosureMaterialUpdates": false,
            "otherBusinesses": [
                {}
            ],
            "professionalDesignations": [],
            "residentialHistory": [
                {
                    "addressEndDate": "2005-12-01",
                    "address": {
                        "cityName": "FLOWER HILL",
                        "countryCode": "USA",
                        "countryLongName": "United States",
                        "postalCode": "11050",
                        "addressLine1": "123 WALPOLE COURT",
                        "stateCode": "NY"
                    },
                    "addressStartDate": "2005-11-01",
                    "id": 1188363
                },
                {
                    "addressEndDate": "2009-07-01",
                    "address": {
                        "cityName": "PORT WASHINGTON",
                        "countryCode": "USA",
                        "countryLongName": "United States",
                        "postalCode": "11050",
                        "addressLine1": "10 TIN COURT",
                        "stateCode": "NY"
                    },
                    "addressStartDate": "2005-12-01",
                    "id": 1230754
                },
                {
                    "addressEndDate": "2011-11-01",
                    "address": {
                        "cityName": "ROSLYN",
                        "countryCode": "USA",
                        "countryLongName": "United States",
                        "postalCode": "11576",
                        "addressLine1": "123 BRASS ROAD",
                        "stateCode": "NY"
                    },
                    "addressStartDate": "2009-07-01",
                    "id": 2716061
                }
            ]
        },
        "firmAssociations": [
            {
                "isIndependentContractor": "N",
                "registrations": [
                    {
                        "beginDate": "2017-08-31",
                        "reviewMethod": {
                            "code": "MNL",
                            "reasonCode": "DISCLR"
                        },
                        "endDate": "2018-12-31",
                        "registrationCategoryCode": "AG",
                        "regulatorIdentifier": 50013,
                        "instanceNumber": 1,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            },
                            {
                                "isCleared": "Y",
                                "code": "FINRA",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "TERMED"
                        }
                    },
                    {
                        "beginDate": "2019-02-07",
                        "reviewMethod": {
                            "code": "MNL",
                            "reasonCode": "DISCLR"
                        },
                        "registrationCategoryCode": "AG",
                        "regulatorIdentifier": 50018,
                        "instanceNumber": 2,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            },
                            {
                                "isCleared": "Y",
                                "code": "FINRA",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "APPROVED"
                        }
                    },
                    {
                        "beginDate": "2017-09-08",
                        "reviewMethod": {
                            "code": "MNL",
                            "reasonCode": "DISCLR"
                        },
                        "registrationCategoryCode": "AG",
                        "regulatorIdentifier": 50039,
                        "instanceNumber": 1,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            },
                            {
                                "isCleared": "Y",
                                "code": "FINRA",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "APPROVED"
                        }
                    },
                    {
                        "beginDate": "2017-08-31",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "endDate": "2018-10-01",
                        "registrationCategoryCode": "BM",
                        "regulatorIdentifier": 50006,
                        "instanceNumber": 1,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "ADMTERM"
                        }
                    },
                    {
                        "beginDate": "2017-08-31",
                        "reviewMethod": {
                            "code": "SUPERATMTC"
                        },
                        "endDate": "2018-10-01",
                        "registrationCategoryCode": "BM",
                        "regulatorIdentifier": 50098,
                        "instanceNumber": 1,
                        "deficiencies": [
                            {
                                "isCleared": "Y",
                                "code": "SRR_RVW",
                                "clearedDate": "2017-08-31",
                                "createDate": "2017-08-31"
                            }
                        ],
                        "status": {
                            "code": "ADMTERM"
                        }
                    },
                    {
                        "beginDate": "2017-08-31",
                        "reviewMethod": {
                            "code": "ATMTC",
                            "reasonCode": "DSCLRAUTO"
                        },
                        "registrationCategoryCode": "GS",
                        "regulatorIdentifier": 1,
                        "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": 50001,
                        "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": 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"
                        },
                        "registrationCategoryCode": "GS",
                        "regulatorIdentifier": 50004,
                        "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": 50006,
                        "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": 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": "GS",
                        "regulatorIdentifier": 50008,
                        "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": 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"
            }
        ]
    }
]

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

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"
                            }
                        }
                    }
                ]

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.

API Credential Types

Firm

Dataset Info:

group	dataset
registration	compositeindividualseed

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

Dataset Details

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.
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. Once the file is generated, it will be available for 30 days.
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.
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.
URLs to whitelist to download the file
1. PROD: 5101-9919-3688-rampweb.s3.amazonaws.com
2. QA Test: 1422-4800-0760-rampweb.s3.amazonaws.com
Following filter is available for the dataset.

	Filter Name	Required (Yes/No)	Note
1	sections	No	User can combine one or more section filters

6. Following section filters are available for the dataset.

	Section Filters	Description	WebEFT IIR section
1	AnnualContinuingEducation	Annual CE	CEInformation
2	InvestmentAdviserContinuingEducation	IA CE	CEInformation
3	occurrences	Disclosure Occurrences	ReportableDisclosureInformation NonReportableDisclosureInformation
4	events	Filing Events	FilingHistory
5	exams	Exam History	ExamInformation ExamWaiverInformation
6	firmAssociations	Firm Associations	FingerprintInformation RegistrationsByCurrentEmployment AffiliatedFirm OfficeOfEmploymentHistory
7	individual	Individual	OtherNames IdentifyingInformation ProfessionalDesignations ResidentialHistory EmploymentHistory OtherBusiness

7. POST Request response fields

	Fields	Description	Max. Length
1	message	Message about the request status	25
2	sections	Section filters used when generating the Individual Seed JSON file.	500
3	requestId	FINRA uuid used when processing the request. This ID is required when using GET to retrieve the Composite Individual Seed JSON file.	36
4	requestTimeStamp	Timestamp generated after the POST call is submitted to FINRA.	30

8. GET Request Response fields:

	Fields	Description	Max Length
1	resultLink	PreSigned URL for data object retrieval. ResultLink attribute will be included only when status is "completed".	1500
2	checkStatusLink	URI which can be called again to poll for completed data file. checkStatusLink attribute will be included only when status is "pending" or "unavailable".	150
3	expires	The 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
4	requestId	FINRA 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
5	status	Status 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

	Fields	Description	Data Format
1	status	Result status. Possible values are "success" or "failed"	string
2	errorMessages	Error message related to the JSON file request. This attribute is only returned if there are error messages.	string
3	response	Response 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

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

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"
        }

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

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"

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 Seed File when the request is invalid

Sample 2 when the request is invalid

{
   "status": "failed",
   "errorMessages": [
      "Invalid section(s): Test1, Test2"
   ]
}

Continuing education status information for registered individuals.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualContinuingEducation	registeredIndividualContinuingEducationMock

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

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"
    }
]

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

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
            }
        ]
    }
]

Registration deficiency information for registered individuals including regulator identification.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualDeficiencies	registeredIndividualDeficienciesMock

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

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
    }
]

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

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 information for registered individuals including disclosure type.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualDisclosures	registeredIndividualDisclosuresMock

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

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
    }
]

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

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 for a registered individual.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualDisclosureFilings	registeredIndividualDisclosureFilingsMock

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

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,
                "filingDate": "2014-04-14",
                "occurrenceNumber": 4957733874,
                "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,
                "eventDate": "2014-01-14",
                "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
            }
        ],
        "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,
                "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
            }
        ]
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            },
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10000
    }
]

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

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
            }
        ]
    }
]

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

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualEmployments	registeredIndividualEmploymentsMock

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

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
    }
]

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

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 details of Individuals in a Firm.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualFingerPrint	registeredIndividualFingerPrintMock

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

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
    }
]

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

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 disclosure information.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	firmDisclosures	firmDisclosuresMock

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

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"
            }
        ]
    }
]

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

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"
            }
        ]
    }
]

Basic information about a firm.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	firmProfile	firmProfileMock

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

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
    }
]

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

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"
    }
]

A complete listing of registration notices for a firm.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	firmRegistrationStatusHistory	firmRegistrationStatusHistoryMock

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

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
    }
]

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

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 registration information

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	firmRegistrations	firmRegistrationsMock

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

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
    }
]

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

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"
            }
        ]
    }
]

Continuing education status information for investment adviser representatives.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualIARContinuingEducationRequirements	registeredIndividualIARContinuingEducationRequirementsMock

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

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
    }
]

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

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
    }]

Basic information about all individuals formerly employed by a firm.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	inactiveIndividual	inactiveIndividualMock

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

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
    }
]

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

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
    }
]

Branch information for all individuals formerly employed by a firm.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	inactiveIndividualBranchOfficeLocations	inactiveIndividualBranchOfficeLocationsMock

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

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
    }
]

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

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
    }
]

Employment information for all indivdiuals formely employed by a firm.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	inactiveIndividualEmployments	inactiveIndividualEmploymentsMock

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

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
    }
]

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

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
    }
]

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

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	inactiveIndividualRegistrationStatusHistory	inactiveIndividualRegistrationStatusHistoryMock

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

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",
                "statusEffectiveDate": "2015-04-27"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APPRNT",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved Pending Prints",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-06-21"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APPRNT",
                "registrationCategoryName": "Investment Banking Representative",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Approved Pending Prints",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 152234,
                "firmName": "WELBORN CAPITAL LLC",
                "statusEffectiveDate": "2013-06-21"
            },
            {
                "regulatorName": "NYSE National, Inc.",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved",
                "regulatorCode": "NYSE-NAT",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2016-04-14"
            },
            {
                "regulatorName": "Nasdaq BX, Inc.",
                "registrationStatusCode": "APPRNT",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved Pending Prints",
                "regulatorCode": "BX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-23"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "APPRNT",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved Pending Prints",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-23"
            },
            {
                "regulatorName": "BOX Exchange LLC",
                "registrationStatusCode": "APPRNT",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved Pending Prints",
                "regulatorCode": "BOX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-23"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "APPRNT",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved Pending Prints",
                "regulatorCode": "NQX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-23"
            },
            {
                "regulatorName": "Nasdaq PHLX LLC",
                "registrationStatusCode": "APPRNT",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved Pending Prints",
                "regulatorCode": "PHLX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2015-04-23"
            },
            {
                "regulatorName": "Investors' Exchange LLC",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Approved",
                "regulatorCode": "IEX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2016-08-30"
            },
            {
                "regulatorName": "NYSE National, Inc.",
                "registrationStatusCode": "T_NOU5",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Terminated Without U5",
                "regulatorCode": "NYSE-NAT",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2017-02-01"
            },
            {
                "regulatorName": "BOX Exchange LLC",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "BOX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2018-04-25"
            },
            {
                "regulatorName": "Nasdaq BX, Inc.",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "BX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2018-04-25"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "NQX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2018-04-25"
            },
            {
                "regulatorName": "Nasdaq PHLX LLC",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "PHLX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2018-04-25"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2018-04-25"
            },
            {
                "regulatorName": "Investors' Exchange LLC",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "IEX",
                "firmCrdNumber": 79,
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "statusEffectiveDate": "2018-04-25"
            }
        ],
        "individualCrdNumber": 1000005
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Foreign Currency Options Representative",
                "registrationCategoryCode": "FC",
                "registrationStatusName": "Termed",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Sales Supervisor",
                "registrationCategoryCode": "SU",
                "registrationStatusName": "Termed",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Branch Office Manager (NYSE)",
                "registrationCategoryCode": "BM",
                "registrationStatusName": "Termed",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Cboe Exchange, Inc.",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "CBOE",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Cboe Exchange, Inc.",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Sales Supervisor",
                "registrationCategoryCode": "SU",
                "registrationStatusName": "Termed",
                "regulatorCode": "CBOE",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Branch Office Manager (NYSE)",
                "registrationCategoryCode": "BM",
                "registrationStatusName": "Termed",
                "regulatorCode": "NYSE",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "NYSE",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Nasdaq PHLX LLC",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "PHLX",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Nasdaq PHLX LLC",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Sales Supervisor",
                "registrationCategoryCode": "SU",
                "registrationStatusName": "Termed",
                "regulatorCode": "PHLX",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "NYSE Arca, Inc.",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "regulatorCode": "NYSE-ARCA",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "NYSE Arca, Inc.",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Sales Supervisor",
                "registrationCategoryCode": "SU",
                "registrationStatusName": "Termed",
                "regulatorCode": "NYSE-ARCA",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Alaska",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "AK",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Arizona",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "AZ",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "California",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "CA",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Colorado",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "CO",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Hawaii",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "HI",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Idaho",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "ID",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Illinois",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "IL",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Massachusetts",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "MA",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Nevada",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "NV",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "New Jersey",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "NJ",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "New Mexico",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "NM",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "New York",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "NY",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Oklahoma",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "OK",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Oregon",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "OR",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Utah",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "UT",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Washington",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "WA",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "Wyoming",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "regulatorCode": "WY",
                "firmCrdNumber": 361,
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "statusEffectiveDate": "1998-01-01"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Deficient",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 153822,
                "firmName": "CLEARWATER SECURITIES, LLC",
                "statusEffectiveDate": "2010-06-08"
            },
            {
                "regulatorName": "California",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Deficient",
                "regulatorCode": "CA",
                "firmCrdNumber": 153822,
                "firmName": "CLEARWATER SECURITIES, LLC",
                "statusEffectiveDate": "2010-06-08"
            },
            {
                "regulatorName": "Idaho",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Deficient",
                "regulatorCode": "ID",
                "firmCrdNumber": 153822,
                "firmName": "CLEARWATER SECURITIES, LLC",
                "statusEffectiveDate": "2010-06-08"
            },
            {
                "regulatorName": "Idaho",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Deficient",
                "regulatorCode": "ID",
                "firmCrdNumber": 109394,
                "firmName": null,
                "statusEffectiveDate": "2006-03-10"
            },
            {
                "regulatorName": "Idaho",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Deficient",
                "regulatorCode": "ID",
                "firmCrdNumber": 116865,
                "firmName": "CLEARWATER ADVISORS, LLC",
                "statusEffectiveDate": "2006-03-10"
            },
            {
                "regulatorName": "Idaho",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Approved",
                "regulatorCode": "ID",
                "firmCrdNumber": 116865,
                "firmName": "CLEARWATER ADVISORS, LLC",
                "statusEffectiveDate": "2006-03-10"
            },
            {
                "regulatorName": "Idaho",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Approved",
                "regulatorCode": "ID",
                "firmCrdNumber": 109394,
                "firmName": null,
                "statusEffectiveDate": "2006-03-10"
            },
            {
                "regulatorName": "California",
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed Without Registration",
                "regulatorCode": "CA",
                "firmCrdNumber": 153822,
                "firmName": "CLEARWATER SECURITIES, LLC",
                "statusEffectiveDate": "2011-04-29"
            },
            {
                "regulatorName": "Idaho",
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed Without Registration",
                "regulatorCode": "ID",
                "firmCrdNumber": 153822,
                "firmName": "CLEARWATER SECURITIES, LLC",
                "statusEffectiveDate": "2013-02-22"
            },
            {
                "regulatorName": "Idaho",
                "registrationStatusCode": "PENDING",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Pending",
                "regulatorCode": "ID",
                "firmCrdNumber": 153822,
                "firmName": "CLEARWATER SECURITIES, LLC",
                "statusEffectiveDate": "2010-06-08"
            },
            {
                "regulatorName": "Idaho",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "Agent",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Approved",
                "regulatorCode": "ID",
                "firmCrdNumber": 153822,
                "firmName": "CLEARWATER SECURITIES, LLC",
                "statusEffectiveDate": "2010-10-28"
            },
            {
                "regulatorName": "Idaho",
                "registrationStatusCode": "T_NOU5",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Terminated Without U5",
                "regulatorCode": "ID",
                "firmCrdNumber": 109394,
                "firmName": null,
                "statusEffectiveDate": "2010-04-14"
            },
            {
                "regulatorName": "FINRA",
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "General Securities Representative",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed Without Registration",
                "regulatorCode": "FINRA",
                "firmCrdNumber": 153822,
                "firmName": "CLEARWATER SECURITIES, LLC",
                "statusEffectiveDate": "2013-03-07"
            },
            {
                "regulatorName": "Idaho",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Termed",
                "regulatorCode": "ID",
                "firmCrdNumber": 116865,
                "firmName": "CLEARWATER ADVISORS, LLC",
                "statusEffectiveDate": "2022-01-12"
            }
        ],
        "individualCrdNumber": 1000018
    }
]

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

Sample Request

https://api.finra.org/data/group/firm/name/inactiveIndividualRegistrationStatusHistoryMock

Sample Request Payload

{
"limit":2,
"fields":["individualCrdNumber","registrationStatusHistory.regulatorCode","registrationStatusHistory.registrationStatusCode"]
}

Sample Response

[
    {
        "registrationStatusHistory": [
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "NY"
            },
            {
                "registrationStatusCode": "APPRNT",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APRSLTS",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NQX"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NY"
            },
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "NY"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "PURGED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "NQX"
            },
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "NY"
            },
            {
                "registrationStatusCode": "APRSLTS",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APRSLTS",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "PENDING",
                "regulatorCode": "NY"
            },
            {
                "registrationStatusCode": "INACTIVE_PRINTS",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "INACTIVE_PRINTS",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "regulatorCode": "NY"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APRSLTS",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APRSLTS",
                "regulatorCode": "BX"
            },
            {
                "registrationStatusCode": "APRSLTS",
                "regulatorCode": "PHLX"
            },
            {
                "registrationStatusCode": "APRSLTS",
                "regulatorCode": "NQX"
            },
            {
                "registrationStatusCode": "APRSLTS",
                "regulatorCode": "BOX"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "BX"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "PHLX"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "NQX"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "BOX"
            },
            {
                "registrationStatusCode": "APPRNT",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APPRNT",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "NYSE-NAT"
            },
            {
                "registrationStatusCode": "APPRNT",
                "regulatorCode": "BX"
            },
            {
                "registrationStatusCode": "APPRNT",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "APPRNT",
                "regulatorCode": "BOX"
            },
            {
                "registrationStatusCode": "APPRNT",
                "regulatorCode": "NQX"
            },
            {
                "registrationStatusCode": "APPRNT",
                "regulatorCode": "PHLX"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "IEX"
            },
            {
                "registrationStatusCode": "T_NOU5",
                "regulatorCode": "NYSE-NAT"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "BOX"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "BX"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NQX"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "PHLX"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "IEX"
            }
        ],
        "individualCrdNumber": 1000005
    },
    {
        "registrationStatusHistory": [
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NYSE-AMER"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NYSE-AMER"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "CBOE"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "CBOE"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NYSE"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NYSE"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "PHLX"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "PHLX"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "AK"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "AZ"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "CA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "CO"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "HI"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "ID"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "IL"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "MA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NV"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NJ"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NM"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "NY"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "OK"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "OR"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "UT"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "WA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "WY"
            },
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "CA"
            },
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "ID"
            },
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "ID"
            },
            {
                "registrationStatusCode": "DEFICIENT",
                "regulatorCode": "ID"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "ID"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "ID"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "regulatorCode": "CA"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "regulatorCode": "ID"
            },
            {
                "registrationStatusCode": "PENDING",
                "regulatorCode": "ID"
            },
            {
                "registrationStatusCode": "APPROVED",
                "regulatorCode": "ID"
            },
            {
                "registrationStatusCode": "T_NOU5",
                "regulatorCode": "ID"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "regulatorCode": "FINRA"
            },
            {
                "registrationStatusCode": "TERMED",
                "regulatorCode": "ID"
            }
        ],
        "individualCrdNumber": 1000018
    }
]

Registration information for all indivdiuals formely employed by a firm.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	inactiveIndividualRegistrations	inactiveIndividualRegistrationsMock

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

Sample Request

https://api.finra.org/data/group/firm/name/inactiveIndividualRegistrationsMock?limit=2

Sample Response

[
    {
        "registrations": [
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "2015-04-23",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 79,
                "regulatorName": "FINRA",
                "registrationBeginDate": "2015-04-23",
                "registrationEndDate": "2018-04-25",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2018-04-25",
                "regulatorCode": "FINRA",
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "2015-04-23",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 79,
                "regulatorName": "Nasdaq BX, Inc.",
                "registrationBeginDate": "2015-04-23",
                "registrationEndDate": "2018-04-25",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2018-04-25",
                "regulatorCode": "BX",
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "T_NOU5",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "2016-04-14",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Terminated Without U5",
                "firmCrdNumber": 79,
                "regulatorName": "NYSE National, Inc.",
                "registrationBeginDate": "2016-04-14",
                "registrationEndDate": "2017-02-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2017-02-01",
                "regulatorCode": "NYSE-NAT",
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "2015-04-23",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 79,
                "regulatorName": "Nasdaq PHLX LLC",
                "registrationBeginDate": "2015-04-23",
                "registrationEndDate": "2018-04-25",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2018-04-25",
                "regulatorCode": "PHLX",
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "2015-04-23",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 79,
                "regulatorName": "Nasdaq Stock Market",
                "registrationBeginDate": "2015-04-23",
                "registrationEndDate": "2018-04-25",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2018-04-25",
                "regulatorCode": "NQX",
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "2015-04-23",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 79,
                "regulatorName": "BOX Exchange LLC",
                "registrationBeginDate": "2015-04-23",
                "registrationEndDate": "2018-04-25",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2018-04-25",
                "regulatorCode": "BOX",
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "2016-08-30",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 79,
                "regulatorName": "Investors' Exchange LLC",
                "registrationBeginDate": "2016-08-30",
                "registrationEndDate": "2018-04-25",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2018-04-25",
                "regulatorCode": "IEX",
                "firmName": "J.P. MORGAN SECURITIES LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "2010-06-22",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 37909,
                "regulatorName": "New York",
                "registrationBeginDate": "2010-09-08",
                "registrationEndDate": "2012-02-06",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2012-02-06",
                "regulatorCode": "NY",
                "firmName": "KAUFMAN BROS., L.P.",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "2010-07-13",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 37909,
                "regulatorName": "FINRA",
                "registrationBeginDate": "2010-08-18",
                "registrationEndDate": "2012-02-06",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2012-02-06",
                "regulatorCode": "FINRA",
                "firmName": "KAUFMAN BROS., L.P.",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "2011-07-26",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 37909,
                "regulatorName": "Nasdaq Stock Market",
                "registrationBeginDate": "2011-07-26",
                "registrationEndDate": "2012-02-06",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2012-02-06",
                "regulatorCode": "NQX",
                "firmName": "KAUFMAN BROS., L.P.",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Investment Banking Representative",
                "filingDate": "2010-06-22",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 37909,
                "regulatorName": "FINRA",
                "registrationBeginDate": "2010-06-30",
                "registrationEndDate": "2012-02-06",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2012-02-06",
                "regulatorCode": "FINRA",
                "firmName": "KAUFMAN BROS., L.P.",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Research Analyst",
                "filingDate": "2010-09-09",
                "registrationCategoryCode": "RS",
                "registrationStatusName": "Termed Without Registration",
                "firmCrdNumber": 37909,
                "regulatorName": "FINRA",
                "registrationBeginDate": null,
                "registrationEndDate": null,
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2012-02-06",
                "regulatorCode": "FINRA",
                "firmName": "KAUFMAN BROS., L.P.",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Agent",
                "filingDate": "2013-05-14",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed Without Registration",
                "firmCrdNumber": 152234,
                "regulatorName": "New York",
                "registrationBeginDate": null,
                "registrationEndDate": null,
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2013-07-31",
                "regulatorCode": "NY",
                "firmName": "WELBORN CAPITAL LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "2013-05-14",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 152234,
                "regulatorName": "FINRA",
                "registrationBeginDate": "2013-06-21",
                "registrationEndDate": "2013-07-31",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2013-07-31",
                "regulatorCode": "FINRA",
                "firmName": "WELBORN CAPITAL LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Investment Banking Representative",
                "filingDate": "2013-05-14",
                "registrationCategoryCode": "IB",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 152234,
                "regulatorName": "FINRA",
                "registrationBeginDate": "2013-06-21",
                "registrationEndDate": "2013-07-31",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2013-07-31",
                "regulatorCode": "FINRA",
                "firmName": "WELBORN CAPITAL LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Research Principal",
                "filingDate": "2013-05-14",
                "registrationCategoryCode": "RP",
                "registrationStatusName": "Termed Without Registration",
                "firmCrdNumber": 152234,
                "regulatorName": "FINRA",
                "registrationBeginDate": null,
                "registrationEndDate": null,
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2013-07-31",
                "regulatorCode": "FINRA",
                "firmName": "WELBORN CAPITAL LLC",
                "isApproved": "NO"
            }
        ],
        "individualCrdNumber": 1000005
    },
    {
        "registrations": [
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Alaska",
                "registrationBeginDate": "1987-06-10",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "AK",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Arizona",
                "registrationBeginDate": "1987-06-12",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "AZ",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "California",
                "registrationBeginDate": "1987-02-02",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "CA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Colorado",
                "registrationBeginDate": "1987-02-02",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "CO",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Hawaii",
                "registrationBeginDate": "1988-03-02",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "HI",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Idaho",
                "registrationBeginDate": "1987-04-03",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "ID",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Illinois",
                "registrationBeginDate": "1993-12-22",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "IL",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Massachusetts",
                "registrationBeginDate": "1997-01-30",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "MA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Nevada",
                "registrationBeginDate": "1987-06-10",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NV",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "New Jersey",
                "registrationBeginDate": "1995-11-21",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NJ",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "New Mexico",
                "registrationBeginDate": "1991-12-03",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NM",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "New York",
                "registrationBeginDate": "1989-06-14",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NY",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Oklahoma",
                "registrationBeginDate": "1988-07-19",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "OK",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Oregon",
                "registrationBeginDate": "1987-02-02",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "OR",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Utah",
                "registrationBeginDate": "1987-06-11",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "UT",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Washington",
                "registrationBeginDate": "1987-06-11",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "WA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Wyoming",
                "registrationBeginDate": "1987-06-11",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "WY",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Branch Office Manager (NYSE)",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "BM",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "NYSE American LLC",
                "registrationBeginDate": "1995-05-31",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NYSE-AMER",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Branch Office Manager (NYSE)",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "BM",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "New York Stock Exchange",
                "registrationBeginDate": "1995-05-31",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NYSE",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Foreign Currency Options Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "FC",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "FINRA",
                "registrationBeginDate": "1983-11-25",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "FINRA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "FINRA",
                "registrationBeginDate": "1984-02-20",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "FINRA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "NYSE American LLC",
                "registrationBeginDate": "1988-04-03",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NYSE-AMER",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Cboe Exchange, Inc.",
                "registrationBeginDate": "1991-03-03",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "CBOE",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "New York Stock Exchange",
                "registrationBeginDate": "1984-09-14",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NYSE",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Nasdaq PHLX LLC",
                "registrationBeginDate": "1993-10-16",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "PHLX",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "NYSE Arca, Inc.",
                "registrationBeginDate": "1992-10-11",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NYSE-ARCA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Sales Supervisor",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "SU",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "FINRA",
                "registrationBeginDate": "1995-05-31",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "FINRA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Sales Supervisor",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "SU",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Cboe Exchange, Inc.",
                "registrationBeginDate": "1995-05-31",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "CBOE",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Sales Supervisor",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "SU",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Nasdaq PHLX LLC",
                "registrationBeginDate": "1995-05-31",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "PHLX",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Sales Supervisor",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "SU",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "NYSE Arca, Inc.",
                "registrationBeginDate": "1995-05-31",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NYSE-ARCA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "T_NOU5",
                "registrationCategoryName": "Investment Advisor Representative",
                "filingDate": "2006-03-10",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Terminated Without U5",
                "firmCrdNumber": 109394,
                "regulatorName": "Idaho",
                "registrationBeginDate": "2006-03-10",
                "registrationEndDate": "2010-04-14",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2010-04-14",
                "regulatorCode": "ID",
                "firmName": null,
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Investment Advisor Representative",
                "filingDate": "2006-03-10",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 116865,
                "regulatorName": "Idaho",
                "registrationBeginDate": "2006-03-10",
                "registrationEndDate": "2022-01-12",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2022-01-12",
                "regulatorCode": "ID",
                "firmName": "CLEARWATER ADVISORS, LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Agent",
                "filingDate": "2010-06-08",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed Without Registration",
                "firmCrdNumber": 153822,
                "regulatorName": "California",
                "registrationBeginDate": null,
                "registrationEndDate": null,
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2011-04-29",
                "regulatorCode": "CA",
                "firmName": "CLEARWATER SECURITIES, LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Agent",
                "filingDate": "2010-06-08",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed Without Registration",
                "firmCrdNumber": 153822,
                "regulatorName": "Idaho",
                "registrationBeginDate": null,
                "registrationEndDate": null,
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2013-02-22",
                "regulatorCode": "ID",
                "firmName": "CLEARWATER SECURITIES, LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "2010-06-08",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed Without Registration",
                "firmCrdNumber": 153822,
                "regulatorName": "FINRA",
                "registrationBeginDate": null,
                "registrationEndDate": null,
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2013-03-07",
                "regulatorCode": "FINRA",
                "firmName": "CLEARWATER SECURITIES, LLC",
                "isApproved": "NO"
            }
        ],
        "individualCrdNumber": 1000018
    }
]

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

Sample Request

https://api.finra.org/data/group/firm/name/inactiveIndividualRegistrationsMock

Sample Request Payload

{
"compareFilters": [ 
{"compareType": "equal", "fieldName": "individualCrdNumber", "fieldValue":1000018 }
]
}

Sample Response

[
    {
        "registrations": [
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Alaska",
                "registrationBeginDate": "1987-06-10",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "AK",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Arizona",
                "registrationBeginDate": "1987-06-12",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "AZ",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "California",
                "registrationBeginDate": "1987-02-02",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "CA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Colorado",
                "registrationBeginDate": "1987-02-02",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "CO",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Hawaii",
                "registrationBeginDate": "1988-03-02",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "HI",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Idaho",
                "registrationBeginDate": "1987-04-03",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "ID",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Illinois",
                "registrationBeginDate": "1993-12-22",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "IL",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Massachusetts",
                "registrationBeginDate": "1997-01-30",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "MA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Nevada",
                "registrationBeginDate": "1987-06-10",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NV",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "New Jersey",
                "registrationBeginDate": "1995-11-21",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NJ",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "New Mexico",
                "registrationBeginDate": "1991-12-03",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NM",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "New York",
                "registrationBeginDate": "1989-06-14",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NY",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Oklahoma",
                "registrationBeginDate": "1988-07-19",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "OK",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Oregon",
                "registrationBeginDate": "1987-02-02",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "OR",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Utah",
                "registrationBeginDate": "1987-06-11",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "UT",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Washington",
                "registrationBeginDate": "1987-06-11",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "WA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Agent",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Wyoming",
                "registrationBeginDate": "1987-06-11",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "WY",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Branch Office Manager (NYSE)",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "BM",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "NYSE American LLC",
                "registrationBeginDate": "1995-05-31",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NYSE-AMER",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Branch Office Manager (NYSE)",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "BM",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "New York Stock Exchange",
                "registrationBeginDate": "1995-05-31",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NYSE",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Foreign Currency Options Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "FC",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "FINRA",
                "registrationBeginDate": "1983-11-25",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "FINRA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "FINRA",
                "registrationBeginDate": "1984-02-20",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "FINRA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "NYSE American LLC",
                "registrationBeginDate": "1988-04-03",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NYSE-AMER",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Cboe Exchange, Inc.",
                "registrationBeginDate": "1991-03-03",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "CBOE",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "New York Stock Exchange",
                "registrationBeginDate": "1984-09-14",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NYSE",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Nasdaq PHLX LLC",
                "registrationBeginDate": "1993-10-16",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "PHLX",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "NYSE Arca, Inc.",
                "registrationBeginDate": "1992-10-11",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NYSE-ARCA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Sales Supervisor",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "SU",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "FINRA",
                "registrationBeginDate": "1995-05-31",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "FINRA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Sales Supervisor",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "SU",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Cboe Exchange, Inc.",
                "registrationBeginDate": "1995-05-31",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "CBOE",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Sales Supervisor",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "SU",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "Nasdaq PHLX LLC",
                "registrationBeginDate": "1995-05-31",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "PHLX",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "General Securities Sales Supervisor",
                "filingDate": "1999-07-05",
                "registrationCategoryCode": "SU",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 361,
                "regulatorName": "NYSE Arca, Inc.",
                "registrationBeginDate": "1995-05-31",
                "registrationEndDate": "1998-01-01",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "1998-01-01",
                "regulatorCode": "NYSE-ARCA",
                "firmName": "GOLDMAN SACHS & CO. LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "T_NOU5",
                "registrationCategoryName": "Investment Advisor Representative",
                "filingDate": "2006-03-10",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Terminated Without U5",
                "firmCrdNumber": 109394,
                "regulatorName": "Idaho",
                "registrationBeginDate": "2006-03-10",
                "registrationEndDate": "2010-04-14",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2010-04-14",
                "regulatorCode": "ID",
                "firmName": null,
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Investment Advisor Representative",
                "filingDate": "2006-03-10",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Termed",
                "firmCrdNumber": 116865,
                "regulatorName": "Idaho",
                "registrationBeginDate": "2006-03-10",
                "registrationEndDate": "2022-01-12",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2022-01-12",
                "regulatorCode": "ID",
                "firmName": "CLEARWATER ADVISORS, LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Agent",
                "filingDate": "2010-06-08",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed Without Registration",
                "firmCrdNumber": 153822,
                "regulatorName": "California",
                "registrationBeginDate": null,
                "registrationEndDate": null,
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2011-04-29",
                "regulatorCode": "CA",
                "firmName": "CLEARWATER SECURITIES, LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Agent",
                "filingDate": "2010-06-08",
                "registrationCategoryCode": "AG",
                "registrationStatusName": "Termed Without Registration",
                "firmCrdNumber": 153822,
                "regulatorName": "Idaho",
                "registrationBeginDate": null,
                "registrationEndDate": null,
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2013-02-22",
                "regulatorCode": "ID",
                "firmName": "CLEARWATER SECURITIES, LLC",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "General Securities Representative",
                "filingDate": "2010-06-08",
                "registrationCategoryCode": "GS",
                "registrationStatusName": "Termed Without Registration",
                "firmCrdNumber": 153822,
                "regulatorName": "FINRA",
                "registrationBeginDate": null,
                "registrationEndDate": null,
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2013-03-07",
                "regulatorCode": "FINRA",
                "firmName": "CLEARWATER SECURITIES, LLC",
                "isApproved": "NO"
            }
        ],
        "individualCrdNumber": 1000018
    }
]

The dataset provides the ability to identify individual representatives whose information has changed within a given date and time range.

API Credential Types

Firm

Dataset Info:

group	dataset	test dataset
registration	individualDelta	individualDeltaMock

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

Dataset Details

The Individual Delta Dataset provides the ability to identify individual representatives whose information has changed within a given date and time range. The dataset return only those individuals who are either employed by the requesting firm or were terminated in the last 30 days.

Dataset returns the following fields:

Field	Description
individualCRDNumber	Individual CRD Number
lastUpdatedDateTime	DateTime when the individual information was updated or added
updateType	Possible values are "I" or "U" I: Indicates a new individual has been added U: Indicates the individual's information has been updated
fingerprintUpdated	Possible values are true or false true: Indicates there is a change in fingerprint details for the individual. Users are advised to get fingerprint details via Individual fingerprint dataset false: Indicates there is no change in fingerprint details for the individual

Following are the available parameters for the dataset

Field Required Format
startDateTime Yes YYYY-MM-DDTHH:MM:SS.SSSZ
endDateTime No YYYY-MM-DDTHH:MM:SS.SSSZ
Returns individuals terminated in the last 30 days from the current date. Example: If an individual leaves or gets terminated on 7/1/2023 , the individuals can show up in the individual delta dataset until 7/31/2023.
The dataset support synchronous calls and can be utilized using only GET

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

Sample Request

https://api.finra.org/data/group/registration/name/individualDeltaMock?startDateTime=2023-11-25T19:45:00.000z

Sample Response

[
    {
        "lastUpdatedTimestamp": "2023-12-06T14:45",
        "individualCrdNumber": 1234,
        "fingerprintUpdated": true,
        "updateType": "I"
    },
    {
        "lastUpdatedTimestamp": "2023-11-29T14:45",
        "individualCrdNumber": 5678,
        "fingerprintUpdated": false,
        "updateType": "U"
    },
    {
        "lastUpdatedTimestamp": "2023-12-02T14:45",
        "individualCrdNumber": 2345,
        "fingerprintUpdated": true,
        "updateType": "U"
    },
    {
        "lastUpdatedTimestamp": "2023-12-10T14:45",
        "individualCrdNumber": 6789,
        "fingerprintUpdated": true,
        "updateType": "I"
    }
]

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

API Credential Types

Fingerprint

Quicklinks

Fingerprint API Schema

Dataset Info:

group	dataset	test dataset
registration	fingerprint	fingerprintMock

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

Dataset Details

The Individual fingerprint dataset offers comprehensive individual fingerprint information based on their Individual CRD Number and Date of Birth. The dataset includes fingerprint information of the individual associated with the requesting firm, along with information about individuals who have left the firm in the last 30 days.

The dataset is accessible only using Fingerprint API Credential. In order to create a Fingerprint API Credential, the user must have "View Fingerprint Statuses (BD Only)" entitlement. Firm SAA has the ability to grant "View Fingerprint Statuses (BD Only)" entitlement to users in production. The "View Fingerprint Statuses (BD Only)"entitlement will be granted to all users by default in the QA Test environment.
Each firm can only have one Fingerprint API Credential. This is in addition to five FIRM credential limit for firms.
Firm must have at least one active FIRM API credential before Fingerprint API credential can be created.
The dataset supports synchronous calls.
Available parameters for the dataset are
Parameter Required Example
individualCRDNumber Yes 12345
DOB Yes 1990-07-27

URI details below

Environment Individual Fingerprint URI

QA Test

https://fingerprints-qaint.finrafp.qa.finra.org/data/group/registration/name/fingerprint?individualCrdNumber={CRD}&DOB={DOB}

PROD

https://fingerprints.finra.org/data/group/registration/name/fingerprint?individualCrdNumber={CRD}&DOB={DOB}

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

Sample Request

 https://fingerprints-qaint.finrafp.qa.finra.org/data/group/registration/name/fingerprint?individualCrdNumber=12345&DOB=1990-07-27

Sample Response


{
    "individualCRDNumber": 12345,
    "fName": "JULIA",
    "lName": "ACKERMAN",
    "mName": "MCNEILL",
    "dateOfBirth": "1990-07-27",
    "positionInFirm": "DIRECTOR",
    "cards": [
        {
            "identifier": 7497748,
            "barCode": "2500985902",
            "statusCode": "CLER",
            "isFinal": "Yes",
            "receivedDate": "2015-02-11",
            "resultsProcessedDate": "2015-02-12",
            "takenDate": "2014-12-29",
            "updateTimeStamp": "2015-02-11T19:00:00",
            "isTerminated": "False"
          
        },
        {
            "identifier": 7484809,
            "barCode": "2500985372",
            "statusCode": "CLER",
            "isFinal": "Yes",
            "receivedDate": "2015-01-26",
            "resultsProcessedDate": "2015-01-27",
            "takenDate": "2014-12-29",
            "updateTimeStamp": "2015-01-26T19:00:00",
            "isTerminated": "False"
        },
        {
            "identifier": 7487874,
            "barCode": "2500985496",
            "statusCode": "CLER",
            "isFinal": "Yes",
            "receivedDate": "2014-12-29",
            "resultsProcessedDate": "2015-01-30",
            "takenDate": "2014-12-29",
            "updateTimeStamp": "2015-01-29T19:00:00",
            "isTerminated": "False",
            "terminatedDate": null
        },
        {
            "identifier": 7286347,
            "barCode": "2500897289",
            "statusCode": "CLRX",
            "isFinal": "Yes",
            "receivedDate": "2014-06-04",
            "resultsProcessedDate": "2014-06-06",
            "takenDate": "2014-05-21",
            "updateTimeStamp": "2014-06-05T20:00:00",
            "isTerminated": "False",
            "terminatedDate": null
        },
        {
            "identifier": 7280727,
            "barCode": "2500897181",
            "statusCode": "ILEG",
            "isFinal": "No",
            "receivedDate": "2014-06-01",
            "resultsProcessedDate": "2014-06-02",
            "takenDate": "2014-05-21",
            "updateTimeStamp": "2014-06-01T20:00:00",
            "isTerminated": "False",
            "terminatedDate": null
        }
    ],
    "classification": "CNTND",
    "exemptionCodes": [
        "exemptIndividual"
    ]
}

Access the registration records of industry individuals being considered for employment.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
registration	preRegistrationIndividual	preRegistrationIndividualMock

Access to the Individual Pre-Registration Search dataset is governed by specific Terms of Service.

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

Dataset Details

The preRegistrationIndividual dataset provides an Individual Pre-Registration Search capability. This dataset will return the registration records of the individual regardless if the individual is associated with the requesting firm or not. This dataset provides the same pre-registration search functionality available via the FINRA Gateway Profiles application.

To utilize the preRegistrationIndividual dataset you must utilize a POST request and provide one of the following combinations as compare filters in the request body:

SSN + Date of Birth of individual to search for
Date of Birth + First Name
Date of Birth+ Last Name

SSN should be formatted as: "###-##-####" example: 123-45-6789

DOB should be formatted as " MM-DD" example: 05-25

Notes:

SSN must be provided if the registered individual has an SSN. You can only use the DOB + FirstName/LastName input option when an individual does not have an SSN (e.g. international individual). No data will be provided for requests without an SSN when the user has an SSN as part of their registration records.
DOB does not include the year.
Request using DOB + Name may receive multiple records in response.
The purpose of this dataset is to support the pre-registration process for firms. It is not to be used for downloading bulk data or for other pre-hire purposes. Each request is logged and audited by the API Platform. FINRA reserves the right to throttle or disable any API connection that appears to be making excessive requests that do not fit normal usage patterns for pre-registration searches.

Example Payloads

{
    "compareFilters": [
        {
            "fieldName": "dateOfBirth",
            "fieldValue": "05-25",
            "compareType": "EQUAL"
        },
        {
            "fieldName": "ssn",
            "fieldValue": "123-45-6789",
            "compareType": "EQUAL"
        }
    ]
}

{
    "compareFilters": [
        {
            "fieldName": "dateOfBirth",
            "fieldValue": "05-25",
            "compareType": "EQUAL"
        },
        {
            "fieldName": "firstName",
            "fieldValue": "john",
            "compareType": "EQUAL"
        }
    ]
}

{
    "compareFilters": [
        {
            "fieldName": "dateOfBirth",
            "fieldValue": "05-25",
            "compareType": "EQUAL"
        },
        {
            "fieldName": "lastname",
            "fieldValue": "smith",
            "compareType": "EQUAL"
        }
    ]
}

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

Sample Request

https://api.finra.org/data/group/registration/name/preRegistrationIndividualMock

Sample Request Payload

{
    "compareFilters": [
        {
            "fieldName": "dateOfBirth",
            "fieldValue": "05-25",
            "compareType": "EQUAL"
        },
        {
            "fieldName": "ssn",
            "fieldValue": "123-45-6789",
            "compareType": "EQUAL"
        }
    ]
}

Sample Response

[
    {
        "lastName": "Ford",
        "ceStatusDate": "2019-09-11",
        "personalInformation": {
            "countryOfBirthCode": "USA",
            "stateOfBirthCode": "MD"
        },
        "statutoryDisqualificationCode": "yes",
        "suffixName": "JR",
        "otherBusiness": null,
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 2076,
        "statutoryDisqualificationStatusDate": "2015-01-02",
        "professionalDesignations": [
            {
                "designationTypeName": "Certified Financial Planner",
                "lastFilingDate": "2019-11-19",
                "firstFilingType": "AMENDMENT",
                "firstFormTypeCode": "U4",
                "lastFormTypeCode": "U4",
                "designationAuthorityName": "Certified Financial Planner Board of Standards",
                "firstFilingDate": "2014-11-19",
                "lastFilingType": "AMENDMENT",
                "designationTypeCode": "CFP"
            }
        ],
        "ceSessions": [
            {
                "appointmentStatusCode": "INPROGRESS",
                "appointmentProgress": "Scheduled",
                "sessionTypeCode": "201",
                "nextWindowBeginDate": "2022-07-14",
                "windowBeginDate": "2022-03-26",
                "gradeCode": "CMPLT",
                "militaryDeferredFlag": "NO",
                "requirementType": "Anniversary",
                "onlineLastAccessedDate": "2021-01-01",
                "windowEndDate": "2022-07-23"
            }
        ],
        "cePreviousRequirements": [
            {
                "ceSessionTimePeriodCode": "PREVIOUS",
                "sessionTypeCode": "201",
                "windowBeginDate": "2016-03-26",
                "gradeCode": "CMPLT",
                "militaryDeferredFlag": "NO",
                "requirementType": "SEQUENCE",
                "windowEndDate": "2016-07-23"
            }
        ],
        "registrations": [
            {
                "registrationStatusCode": "TERMED",
                "registrationBeginDate": "2013-06-04",
                "filingDate": "2013-06-04",
                "registrationCategoryCode": "AG",
                "regulatorCode": "FINRA",
                "statusEffectiveDate": "2013-10-05"
            },
            {
                "registrationStatusCode": "APPROVED",
                "registrationBeginDate": "2013-06-04",
                "filingDate": "2013-06-04",
                "registrationCategoryCode": "AG",
                "regulatorCode": "FINRA",
                "statusEffectiveDate": "2013-06-07"
            },
            {
                "registrationStatusCode": "APPRNT",
                "registrationBeginDate": "2013-06-04",
                "filingDate": "2013-06-04",
                "registrationCategoryCode": "AG",
                "regulatorCode": "FINRA",
                "statusEffectiveDate": "2013-06-04"
            }
        ],
        "ceStatus": "Satisfied",
        "ceInactiveHistory": [
            {
                "fromDate": "2019-01-01",
                "toDate": "2020-01-01"
            }
        ],
        "deficiencies": [
            {
                "examCode": "S65",
                "deficiencyDescription": "Exam",
                "registrationCategoryCode": "RA",
                "deficiencyCleared": "N",
                "regulatorCode": "MO",
                "firmCrdNumber": "877",
                "registrationDeficiencyCreatedTimestamp": "2020-08-18",
                "registrationDeficiencyClearedTimestamp": "2021-01-01"
            }
        ],
        "employments": [
            {
                "dualInvestmentAdvisorFlag": "NO",
                "individualBillingCode": "11-76TT",
                "employmentEndDate": "2017-01-12",
                "firmCrdNumber": 16164,
                "firmName": "TRANSAMERICA FINANCIAL ADVISORS, INC",
                "isActive": "NO",
                "firmAddress": {
                    "city": "ST PETERSBURG",
                    "postalCode": "33716-1202",
                    "addressLine1": "570 CARILLON PARKWAY",
                    "addressLine2": null,
                    "state": "FL"
                }
            },
            {
                "dualInvestmentAdvisorFlag": "NO",
                "individualBillingCode": "34FS",
                "employmentEndDate": "2015-02-12",
                "firmCrdNumber": 18272,
                "firmName": "ALLSTATE FINANCIAL SERVICES, LLC",
                "isActive": "NO",
                "firmAddress": {
                    "city": "LINCOLN",
                    "postalCode": "68506",
                    "addressLine1": "2920 S 84TH STREET",
                    "addressLine2": null,
                    "state": "NE"
                }
            },
            {
                "dualInvestmentAdvisorFlag": "NO",
                "individualBillingCode": "2536",
                "firmCrdNumber": 29604,
                "firmName": "NATIONAL PLANNING CORPORATION",
                "isActive": "YES",
                "firmAddress": {
                    "city": "LOS ANGELES",
                    "postalCode": "90066",
                    "addressLine1": "12655 W. JEFFERSON BLVD.",
                    "addressLine2": "SUITE 03-173",
                    "state": "CA"
                }
            }
        ],
        "nonIndustryEmployments": [
            {
                "employmentStartDate": "2018-02-01",
                "investmentRelatedIndicator": "Y",
                "address": {
                    "cityName": "LOS ANGELES",
                    "stateCode": "CA"
                },
                "positionDescription": "OFFICE MANAGER",
                "employmentEndDate": "2019-01-01",
                "firmName": "ABC SECURITIES INC."
            }
        ],
        "firstName": "Henry",
        "otherNames": [
            {
                "firstName": "Alex",
                "lastName": "Cob",
                "suffixName": "JR",
                "middleName": "J"
            }
        ],
        "exams": [
            {
                "examValidityFlag": "YES",
                "appointmentStatusCode": "OFFICIAL_RESULT",
                "examCode": "S64",
                "examStatus": "CREDIT",
                "windowBeginDate": "2013-06-03",
                "waiverReasonCode": "GRNDFTHRD",
                "waiverReasonName": "Grandfathered",
                "ConfirmationNumber": "447852836353",
                "windowEndDate": "2015-06-03",
                "examGradeCode": "PASSED",
                "examStatusDate": "2014-06-03",
                "examValidityUntilDate": "2024-01-01",
                "vendor": "Wineyard",
                "examValidityStatus": "VALID",
                "testCenterCity": "SAN FRANSISCO",
                "examScore": "115",
                "testCenterState": "CA",
                "examTakenDate": "2014-06-03",
                "appointmentDate": "2014-06-03",
                "testCenterCountryName": "USA"
            }
        ],
        "residentialLocations": [
            {
                "addressEndDate": "2020-01-01",
                "cityName": "GREENWICH",
                "countryCode": "USA",
                "postalCode": "06831",
                "addressLine1": "27 PILGRIM DRIVE",
                "addressStartDate": "2013-06-01",
                "addressLine2": "MARK",
                "stateCode": "CT"
            }
        ],
        "branchOfficeLocations": [
            {
                "registeredLocationFlag": "YES",
                "branchBillingCode": "HAHAG",
                "privateResidenceFlag": "NO",
                "branchAddress": {
                    "cityName": "STAMFORD",
                    "countryCode": "USA",
                    "postalCode": "06902",
                    "addressLine1": "46 SOUTHFIELD AVE, SUITE 420",
                    "stateCode": "CT"
                },
                "officeLocationType": "LOCATED AT"
            },
            {
                "registeredLocationFlag": "YES",
                "branchBillingCode": "JAHST",
                "privateResidenceFlag": "NO",
                "branchAddress": {
                    "cityName": "HERNDON",
                    "countryCode": "USA",
                    "postalCode": "06902",
                    "addressLine1": "89 CLOUGH ST",
                    "addressLine2": "MARK",
                    "stateCode": "CA"
                },
                "officeLocationType": "LOCATED AT"
            }
        ],
        "middleName": "Roger",
        "disclosures": [
            {
                "disclosureTypeCode": "JUDGEMNT",
                "reportableFlag": "N",
                "archiveReasonType": "Judgment/Lien has been satisfied; completed; released",
                "publiclyDisclosableFlag": "N",
                "occurrenceNumber": 2110397,
                "questionAnsweredText": "14M",
                "eventDate": "2019-04-01"
            },
            {
                "disclosureTypeCode": "JUDGEMNT",
                "reportableFlag": "N",
                "archiveReasonType": "Judgment/Lien has been satisfied; completed; released",
                "publiclyDisclosableFlag": "N",
                "occurrenceNumber": 1938404,
                "questionAnsweredText": "14M",
                "eventDate": "2017-04-24"
            },
            {
                "disclosureTypeCode": "BANKRUPT",
                "reportableFlag": "N",
                "archiveReasonType": "Filed more than 10 years ago",
                "publiclyDisclosableFlag": "N",
                "occurrenceNumber": 1627612,
                "questionAnsweredText": "14K(1)",
                "eventDate": "2010-03-25"
            },
            {
                "disclosureTypeCode": "JUDGEMNT",
                "reportableFlag": "N",
                "archiveReasonType": "Judgment/Lien has been satisfied; completed; released",
                "publiclyDisclosableFlag": "N",
                "occurrenceNumber": 1627611,
                "questionAnsweredText": "14M",
                "eventDate": "2011-09-16"
            }
        ],
        "militaryDeferredFlag": "NO"
    }
]

Access the registration records of individuals in the industry being considered for employment, along with complete disclosure information.

API Credential Types

Firm

Quicklinks

Metadata

Schema

Dataset Info:

group	dataset	test dataset
registration	preRegistrationIndividualv2	preRegistrationIndividualv2Mock

Access to the Individual Pre-Registration Search dataset is governed by specific Terms of Service.

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

Dataset Details

The preRegistrationIndividualv2 dataset provides an Individual Pre-Registration Search capability. This dataset returns the registration records of the individual regardless if the individual is associated with the requesting firm or not. This dataset provides the same pre-registration search functionality available via the FINRA Gateway Profiles application. The differences between preRegistrationIndividual and preRegistrationIndividualv2 datasets are as follows:

v2 includes all of individual's disclosure information that was missing in preRegistrationIndividual.
The new dataset is in U4 format, so it can be used to prepopulate U4 for submission (when U4 submission capability becomes available).
Some of the field names have also been updated in v2, refer to preRegistrationIndividualv2 metadata to get field description.
FName and LName parameters are not available in v2.
DOB + Individual CRD parameter has been added in v2.
v2 requires you to retrieve all the fields in the dataset, it doesn't support retrieving only a subset of fields
v2 supports asynchronous calls only. URLs to whitelist to get asynchronous response.
1. PROD: 5101-9919-3688-dapi.s3.amazonaws.com
2. QA Test: 1422-4800-0760-dapi.s3.amazonaws.com
To utilize the dataset, users must use a POST request and provide one of the following combinations as compare filters in the request body:
1. SSN + Date of Birth
  1. SSN should be formatted as: "###-##-####" example: 123-45-6789
  2. DOB should be formatted as " MM-DD" example: 05-25
2. Individual CRD + Date of Birth

Notes:

SSN must be provided if the registered individual has an SSN.
DOB does not include the year.
The purpose of this dataset is to support the pre-registration process for firms. It is not to be used for downloading bulk data or for other pre-hire purposes. Each request is logged and audited by the API Platform. FINRA reserves the right to throttle or disable any API connection that appears to be making excessive requests that do not fit normal usage patterns for pre-registration searches.

Example Payloads

{
    "compareFilters": [
        {
            "fieldName": "dateOfBirth",
            "fieldValue": "05-25",
            "compareType": "EQUAL"
        },
        {
            "fieldName": "ssn",
            "fieldValue": "123-45-6789",
            "compareType": "EQUAL"
        }
    ],

 "async": true
}

{
  "compareFilters": [
    {
      "fieldName": "dateOfBirth",
      "fieldValue": "01-25",
      "compareType": "EQUAL"
    },

    {
      "fieldName": "individualCrdNumber",
      "fieldValue": "2400211",
      "compareType": "EQUAL"
    }
  ],

  "async": true
}

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

Sample Request

https://api.finra.org/data/group/registration/name/PreRegistrationIndividualv2mock

Sample Request Payload

{
    "compareFilters": [
        {
            "fieldName": "dateOfBirth",
            "fieldValue": "05-25",
            "compareType": "EQUAL"
        },
        {
            "fieldName": "ssn",
            "fieldValue": "123-45-6789",
            "compareType": "EQUAL"
        }
    ],
 "async": true
}

Sample Response

{
    "individualInformation": {
        "individualCrdNumber": 123456,
        "personalInformation": {
            "individualFilingName": {
                "firstName": "PETER",
                "middleName": "EDWARD",
                "lastName": "CUNNINGHAM"
            },
            "individualName": {
                "firstName": "PETER",
                "middleName": "EDWARD",
                "lastName": "CUNNINGHAM"
            },
            "dateOfBirth": "1990-01-25",
            "stateOfBirth": "NJ",
            "countryOfBirth": "USA"
        },
        "individualAliases": [],
        "individualBiometrics": {
            "genderCode": "M",
            "hairColorCode": "BRO",
            "eyeColorCode": "HAZ",
            "heightFeet": 5,
            "heightInches": 8,
            "weight": 165
        },
        "residentialHistory": [
            {
                "id": "0613d916-af90-4c36-8565-7db806c85a4c",
                "addressInstanceNumber": 1,
                "addressStartDate": "1993-12",
                "addressEndDate": "2001-07",
                "address": {
                    "addressLine1": "8665 BURTON WAY APT PH17",
                    "cityName": "LA",
                    "stateCode": "CA",
                    "postalCode": "90048",
                    "countryCode": "USA"
                }
            },
            {
                "id": "b38fa0f3-ae8e-405d-a3e2-158fb3e8938b",
                "addressInstanceNumber": 3,
                "addressStartDate": "1999-06",
                "addressEndDate": "2001-07",
                "address": {
                    "addressLine1": "2433 SAN MARCO DR.",
                    "cityName": "LOS ANGELES",
                    "stateCode": "CA",
                    "postalCode": "90068",
                    "countryCode": "USA"
                }
            },
            {
                "id": "8f94a93b-5bd1-4373-9801-527126a8e7b8",
                "addressInstanceNumber": 4,
                "addressStartDate": "2001-07",
                "addressEndDate": "2009-11",
                "address": {
                    "addressLine1": "3298 NORTH KNOLL DRIVE",
                    "cityName": "LOS ANGELES",
                    "stateCode": "CA",
                    "postalCode": "90068",
                    "countryCode": "USA"
                }
            },
            {
                "id": "3ff6f67b-10a8-4733-be10-1d2549088017",
                "addressInstanceNumber": 2951778,
                "addressStartDate": "2009-11",
                "addressEndDate": "2010-09",
                "address": {
                    "addressLine1": "6253 HOLLYWOOD BLVD.",
                    "addressLine2": "#1002",
                    "cityName": "LOS ANGELES",
                    "stateCode": "CA",
                    "postalCode": "90028",
                    "countryCode": "USA"
                }
            },
            {
                "id": "84dad22b-348a-47a3-a160-e0ccf1742e40",
                "addressInstanceNumber": 3170553,
                "addressStartDate": "2010-09",
                "addressEndDate": "2011-10",
                "address": {
                    "addressLine1": "1111 SOUTH GRAND AVE #1117",
                    "cityName": "LOS ANGELES",
                    "stateCode": "CA",
                    "postalCode": "90015",
                    "countryCode": "USA"
                }
            },
            {
                "id": "c6711736-a398-48b9-8ee9-ed19c3cf53ff",
                "addressInstanceNumber": 3447921,
                "addressStartDate": "2011-10",
                "addressEndDate": "2012-12",
                "address": {
                    "addressLine1": "3298 N KNOLL DRIVE",
                    "cityName": "LOS ANGELES",
                    "stateCode": "CA",
                    "postalCode": "90068",
                    "countryCode": "USA"
                }
            },
            {
                "id": "fdadf87d-2bb4-4b17-986a-22870b54cc6e",
                "addressInstanceNumber": 3816075,
                "addressStartDate": "2012-12",
                "addressEndDate": "2016-10",
                "address": {
                    "addressLine1": "1167 HIGH POINT STREET",
                    "cityName": "LOS ANGELES",
                    "stateCode": "CA",
                    "postalCode": "90035",
                    "countryCode": "USA"
                }
            },
            {
                "id": "63e076ee-0f7e-4e0c-9f32-43b4e66c1959",
                "addressInstanceNumber": 5119124,
                "addressStartDate": "2016-10",
                "addressEndDate": "2018-05",
                "address": {
                    "addressLine1": "3930 Goodland Avenue",
                    "cityName": "Studio City",
                    "stateCode": "CA",
                    "postalCode": "91604",
                    "countryCode": "USA"
                }
            },
            {
                "id": "afe8f157-b0c6-43d9-b7da-0030ea35390c",
                "addressInstanceNumber": 5607407,
                "addressStartDate": "2018-05",
                "address": {
                    "addressLine1": "12230 Morrison Street",
                    "cityName": "Valley Village",
                    "stateCode": "CA",
                    "postalCode": "91607",
                    "countryCode": "USA"
                }
            }
        ]
    },
    "individualNonIndustryEmployments": [
        {
            "id": "9753ea93-3984-4319-b5f1-71aa198bef4c",
            "nonIndustryEmploymentsInstanceNumber": 12379209,
            "employmentStartDate": "2019-09",
            "employerFirmName": "Muriel Siebert & Co., Inc.",
            "address": {
                "cityName": "Beverly Hills",
                "stateCode": "CA",
                "countryCode": "USA"
            },
            "positionDescription": "Registered Representative",
            "investmentRelatedIndicator": true
        },
        {
            "id": "5c3a6a74-2f96-402c-8b9f-ef3958a1d085",
            "nonIndustryEmploymentsInstanceNumber": 10710790,
            "employmentStartDate": "2017-03",
            "employmentEndDate": "2018-08",
            "employerFirmName": "Muriel Siebert & Co., Inc.",
            "address": {
                "cityName": "Beverly Hills",
                "stateCode": "CA",
                "countryCode": "USA"
            },
            "positionDescription": "Registered Representative",
            "investmentRelatedIndicator": true
        },
        {
            "id": "4531ebec-2c55-4fe3-be9c-0205268ac6f8",
            "nonIndustryEmploymentsInstanceNumber": 6,
            "employmentStartDate": "2002-01",
            "employmentEndDate": "2020-01",
            "employerFirmName": "STOCKCROSS",
            "address": {
                "cityName": "BOSTON",
                "stateCode": "MA",
                "countryCode": "USA"
            },
            "positionDescription": "REGISTERED REPRESENTATIVE",
            "investmentRelatedIndicator": true
        },
        {
            "id": "35c6ffbd-909d-4f61-aae8-fd84392b979b",
            "nonIndustryEmploymentsInstanceNumber": 5,
            "employmentStartDate": "1997-11",
            "employmentEndDate": "2001-12",
            "employerFirmName": "WATERHOUSE SECURITIES, INC.",
            "address": {
                "cityName": "BEVERLY HILLS",
                "stateCode": "CA",
                "countryCode": "USA"
            },
            "positionDescription": "OTHER - REPRESENTATIVE",
            "investmentRelatedIndicator": true
        },
        {
            "id": "e7677866-53df-450a-9ed6-657965a8a968",
            "nonIndustryEmploymentsInstanceNumber": 4,
            "employmentStartDate": "1993-09",
            "employmentEndDate": "1997-11",
            "employerFirmName": "KENNEDY, CABOT & CO.",
            "address": {
                "cityName": "BEVERLY HILLS",
                "stateCode": "CA",
                "countryCode": "USA"
            },
            "positionDescription": "NOT PROVIDED",
            "investmentRelatedIndicator": true
        }
    ],
    "individualOtherBusinesses": {
        "otherBusinessFlag": true,
        "otherBusinessText": "The name of the business is MerryQ Enterprises and it is not investment related.  It is located at 4804 Laurel Canyon Blvd Suite# 335 Valley Village, CA 91607.  It is a gift box/clothing business.  I will be helping in marketing and order fulfillment.  The business is owned by my wife and my start date is June 4, 2021.  I will be working 10-15 hours per montth but ZERO hours will be during securities trading hours.  My duties will involve scheduling pickup of goods, marketing and placing shipments and dealing with vendors regarding orders."
    },
    "professionalDesignations": [],
    "firmAssociations": {
        "affiliatedFirmFlag": false,
        "filingFirmAssociation": {
            "baseline": true,
            "firmProfile": {
                "firmName": "WEDBUSH SECURITIES INC.",
                "firmCrdNumber": 877
            },
            "officeLocations": [],
            "registrations": [],
            "jurisdictionRegistrations": []
        },
        "affiliatedFirmAssociation": []
    },
    "drpBond": {
        "200905": [],
        "200510": []
    },
    "drpBankruptcy": {
        "200905": [],
        "200510": []
    },
    "drpCivilJudicial": {
        "200905": [],
        "200510": []
    },
    "drpTermination": {
        "200905": [],
        "200510": [
            {
                "id": "c7e135b1-0076-4e39-8810-f21b407b8853",
                "baseline": true,
                "disclosureVersion": "10/2005",
                "drpIdentifierDetails": {
                    "disclosureIdentifier": 1145215,
                    "filingIdentifier": 60033889,
                    "occurrenceIdentifier": 1154224
                },
                "discloseToPublicFlag": true,
                "reportableFlag": true,
                "formU4Termination": {
                    "employingFirmName": "TD WATERHOUSE INVESTOR SERVICES INC",
                    "terminationTypeCode": "DISCHARGED",
                    "disclosureEventDateDetails": {
                        "date": "2001-12-18",
                        "exactDate": true
                    },
                    "terminationAllegation": "MULTIPLE CUSTOMER COMPLAINTS",
                    "productType": "NOPRODUCT",
                    "commentText": "THE POSITIVE RESULT OF A WITHDRAWN COMPLAINT NECESSITATED THIS AMENDED FILING BY TD WATERHOUSE.  HOWEVER, CUNNINGHAM DISAGREES WITH THEIR ANSWER TO NEW QUESTION 7F(1).  CUNNINGHAM HAS REQUESTED FROM TD WATERHOUSE A REVIEW OF THEIR ANSWER TO 7F(1).",
                    "terminationU4DisclosureQuestionSelection": [
                        "14J(1)"
                    ]
                }
            }
        ]
    },
    "drpRegulatoryAction": {
        "200905": [
            {
                "id": "0fd583a1-bbdf-4839-9aff-ea9ad73cc72a",
                "baseline": true,
                "disclosureVersion": "05/2009",
                "drpIdentifierDetails": {
                    "disclosureIdentifier": 8177887,
                    "filingIdentifier": 60033889,
                    "occurrenceIdentifier": 2140861
                },
                "discloseToPublicFlag": true,
                "reportableFlag": true,
                "formU4RegulatoryAction": {
                    "initiatorType": "STATEJURISDICTION",
                    "initiatorName": "State of California",
                    "disclosureEventDateDetails": {
                        "date": "2021-07-09",
                        "exactDate": true
                    },
                    "courtCaseNumber": "2400211",
                    "disclosureEventDetailText": "Short-term UIT trading.",
                    "employingFirmName": "StockCross Financial Services, Inc.",
                    "productType": [
                        "UIT"
                    ],
                    "soughtReliefSanctionType": [
                        "OTHER",
                        "CIVILFINE",
                        "CEASEDESIST"
                    ],
                    "soughtReliefSanctionTypeOtherText": "Offer of restitution",
                    "disclosureEventStatusType": "FINAL",
                    "pendingLimitationFlag": false,
                    "dispositionDetails": {
                        "dispositionTypeCode": "CONSENT",
                        "dispositionDateDetails": {
                            "date": "2021-07-19",
                            "exactDate": true
                        }
                    },
                    "finalOrderFlag": true,
                    "orderedSanctionType": [
                        "MONETARYOTHER",
                        "CEASEDESIST"
                    ],
                    "orderedSanctionTypeOtherText": "Offer of restitution",
                    "sanctionSuspensionBarDetails": [],
                    "sanctionRequalificationDetails": [],
                    "sanctionMonetaryDetails": [
                        {
                            "sanctionMonetarySequenceNumber": 123884,
                            "sanctionMonetaryType": "CIVILFINE",
                            "sanctionMonetaryTotalAmount": "100000.00",
                            "sanctionMonetaryCollectedAmount": "0.00",
                            "paymentPlanDescription": "Paid",
                            "paymentPlanCurrentFlag": true,
                            "sanctionMonetaryCollectedDateDetail": {
                                "date": "2021-08-13",
                                "exactDate": true
                            },
                            "sanctionMonetaryWaivedFlag": false
                        },
                        {
                            "sanctionMonetarySequenceNumber": 123885,
                            "sanctionMonetaryType": "RESTITUTION",
                            "sanctionMonetaryTotalAmount": "315375.37",
                            "sanctionMonetaryCollectedAmount": "315375.37",
                            "paymentPlanDescription": "Offers of Restitution",
                            "paymentPlanCurrentFlag": true,
                            "sanctionMonetaryCollectedDateDetail": {
                                "date": "2021-08-10",
                                "exactDate": false,
                                "dateExplanation": "Offers of Restitution with clients having a 90 day window to respond."
                            },
                            "sanctionMonetaryWaivedFlag": false
                        }
                    ],
                    "commentText": "Have allocated this amount to the Firm.  That has not yet been determined to be the final amount.",
                    "regulatoryActionU4DisclosureQuestionSelection": [
                        "14D(1)(d)",
                        "14D(1)(b)"
                    ],
                    "reportingObligationFlag": false
                }
            },
            {
                "id": "998183e9-a292-4a36-bab5-2f8752e12a1a",
                "baseline": true,
                "disclosureVersion": "05/2009",
                "drpIdentifierDetails": {
                    "disclosureIdentifier": 8018415,
                    "filingIdentifier": 60033889,
                    "occurrenceIdentifier": 1992582
                },
                "discloseToPublicFlag": true,
                "reportableFlag": true,
                "formU4RegulatoryAction": {
                    "initiatorType": "STATEJURISDICTION",
                    "initiatorName": "Securities Division Commonwealth of Massachusetts",
                    "disclosureEventDateDetails": {
                        "date": "2018-08-14",
                        "exactDate": true
                    },
                    "courtCaseNumber": "E-2017-0104",
                    "disclosureEventDetailText": "Short term UIT trading. (From 2012-2017.)",
                    "employingFirmName": "StockCross Financial Services, Inc.",
                    "productType": [
                        "UIT"
                    ],
                    "soughtReliefSanctionType": [
                        "CENSURE",
                        "REVOCATION",
                        "CEASEDESIST"
                    ],
                    "disclosureEventStatusType": "FINAL",
                    "pendingLimitationFlag": false,
                    "dispositionDetails": {
                        "dispositionTypeCode": "SETTLED",
                        "dispositionDateDetails": {
                            "date": "2019-09-03",
                            "exactDate": true
                        }
                    },
                    "finalOrderFlag": true,
                    "orderedSanctionType": [
                        "CENSURE",
                        "PROHIBITION",
                        "CEASEDESIST"
                    ],
                    "orderedSanctionTypeOtherText": "Cunningham shall take forty hours of securities industry education courses within the twelve months following September 3, 2019. He also will not sell UITs to Massachusetts Clients for a period of 15 months from September 3, 2019.",
                    "sanctionSuspensionBarDetails": [],
                    "sanctionRequalificationDetails": [],
                    "sanctionMonetaryDetails": [],
                    "regulatoryActionU4DisclosureQuestionSelection": [
                        "14D(1)(d)"
                    ],
                    "reportingObligationFlag": false
                }
            }
        ],
        "200510": []
    },
    "drpInvestigation": {
        "200905": [],
        "200510": []
    },
    "drpJudgmentLien": {
        "200905A": [],
        "200905B": [],
        "200510": []
    },
    "drpCriminal": {
        "200905": [],
        "200510": []
    },
    "drpCustomerComplaint": {
        "200905": [
            {
                "id": "217abb24-128d-4b51-9887-387fcdb0bc93",
                "baseline": true,
                "disclosureVersion": "05/2009",
                "drpIdentifierDetails": {
                    "disclosureIdentifier": 1553390,
                    "filingIdentifier": 60033889,
                    "occurrenceIdentifier": 1614633
                },
                "discloseToPublicFlag": true,
                "reportableFlag": true,
                "formU4CustomerComplaint": {
                    "allegationAmount": "437635.00",
                    "allegationAmountExactFlag": true,
                    "productType": [
                        "OTHER",
                        "UIT"
                    ],
                    "productTypeOtherText": "STRUCTURED PRODUCTS",
                    "disclosureEventDetailText": "SHE CLAIMS THAT TRANSACTIONS IN HER ACCOUNT OVER A PERIOD OF ABOUT TEN YEARS WERE UNSUITABLE, AND THAT SHE WAS NOT PROVIDED WITH MATERIAL FACTS REGARDING THE SECURITIES THAT SHE PURCHASED.",
                    "initiatorName": "JEAN-CLYDE MASON",
                    "customerResidenceStateDetails": "CA",
                    "employingFirmName": "STOCKCROSS FINANCIAL SERVICES, INC.",
                    "complaintWrittenFlag": false,
                    "complaintOralFlag": false,
                    "disclosureEventDateDetails": {
                        "date": "2012-05-30",
                        "exactDate": true
                    },
                    "disclosureEventPendingFlag": false,
                    "complaintDispositionTypeCode": "WITHDRAWN",
                    "complaintDispositionDateDetails": {
                        "date": "2014-01-29",
                        "exactDate": true
                    },
                    "complaintCompensationDetails": {
                        "complaintCompensationTotalAmount": "150000.00",
                        "complaintCompensationIndividualContributionAmount": "0.00"
                    },
                    "arbitrationLitigationFlag": true,
                    "arbitrationLitigationCourtDetailText": "FINRA",
                    "arbitrationLitigationCourtCaseNumberText": "12-01832",
                    "arbitrationLitigationFilingDate": "2012-05-30",
                    "arbitrationAuthorityName": "FINRA",
                    "arbitrationCaseNumberText": "FINRA 12-01832",
                    "arbitrationNoticeServedDateDetails": {
                        "date": "2012-05-30",
                        "exactDate": true,
                        "dateExplanation": "Claimant withdrew their case against registered rep.  The case was subsequently settled with StockCross Financial Services"
                    },
                    "arbitrationPendingFlag": false,
                    "arbitrationDispositionTypeCode": "SETTLED",
                    "arbitrationDispositionDateDetails": {
                        "date": "2014-01-29",
                        "exactDate": true
                    },
                    "arbitrationCompensationDetails": {
                        "arbitrationCompensationTotalAmount": "150000.00",
                        "arbitrationCompensationIndividualContributionAmount": "0.00"
                    },
                    "commentText": "THE ALLEGATIONS ARE INCORRECT, FALSE, AND ENTIRELY WITHOUT MERIT. CLAIMANT WITHDREW THEIR CASE AGAINST REGISTERED REP.  THE CASE WAS SUBSEQUENTLY SETTLED WITH STOCKCROSS FINANCIAL SERVICES",
                    "customerComplaintU4DisclosureQuestionSelection": [
                        "14I(1)(a)"
                    ],
                    "reportingObligationFlag": false
                }
            },
            {
                "id": "cf19f1d7-c623-4cb7-94b0-6f097e120889",
                "baseline": true,
                "disclosureVersion": "05/2009",
                "drpIdentifierDetails": {
                    "disclosureIdentifier": 1537838,
                    "filingIdentifier": 60033889,
                    "occurrenceIdentifier": 1597531
                },
                "discloseToPublicFlag": true,
                "reportableFlag": true,
                "formU4CustomerComplaint": {
                    "allegationAmount": "218381.00",
                    "allegationAmountExactFlag": true,
                    "productType": [
                        "OTHER",
                        "UIT",
                        "MUTUALFUND"
                    ],
                    "productTypeOtherText": "STRUCTURED PRODUCT",
                    "disclosureEventDetailText": "CLAIMANT INVESTED FOR HIMSELF AND HIS LATE MOTHER AND IS DISSATISFIED WITH PERFORMANCE OF THE ACCOUNTS AND LOSSES INCURRED. ALLEGES NEGLIGENCE,UNSUITABLE RECOMMENDATIONS, MISREPRESENTATION OR OMISSION OF MATERIAL FACTS.",
                    "initiatorName": "STEVEN CHAPLES",
                    "customerResidenceStateDetails": "TX",
                    "employingFirmName": "STOCKCROSS FINANCIAL SERVICES, INC.",
                    "arbitrationAuthorityName": "FINRA",
                    "arbitrationCaseNumberText": "12-00029",
                    "arbitrationNoticeServedDateDetails": {
                        "date": "2012-01-17",
                        "exactDate": true
                    },
                    "arbitrationPendingFlag": false,
                    "arbitrationDispositionTypeCode": "SETTLED",
                    "arbitrationDispositionDateDetails": {
                        "date": "2012-10-10",
                        "exactDate": true
                    },
                    "arbitrationCompensationDetails": {
                        "arbitrationCompensationTotalAmount": "90000.00",
                        "arbitrationCompensationIndividualContributionAmount": "0.00"
                    },
                    "commentText": "THE ALLEGATIONS ARE FALSE AND WITHOUT MERIT. A SETTLEMENT WAS AGREED UPON ONLY FOR THE PURPOSE OF AVOIDING THE SUBSTANTIAL LEGAL COST AND TIME INVOLVED IN ARBITRATION.",
                    "customerComplaintU4DisclosureQuestionSelection": [
                        "14I(1)(a)"
                    ],
                    "reportingObligationFlag": false
                }
            },
            {
                "id": "9998faff-ca95-4497-b392-c5d63dbb5253",
                "baseline": true,
                "disclosureVersion": "05/2009",
                "drpIdentifierDetails": {
                    "disclosureIdentifier": 1473356,
                    "filingIdentifier": 32649872,
                    "occurrenceIdentifier": 1530667
                },
                "discloseToPublicFlag": false,
                "reportableFlag": false,
                "formU4CustomerComplaint": {
                    "allegationAmount": "10000.00",
                    "allegationAmountExactFlag": true,
                    "productType": [
                        "DEBTCORPORATE"
                    ],
                    "disclosureEventDetailText": "CLIENT COMPLAINED OF UNAUTHORIZED PURCHASE IN ACCOUNT.",
                    "initiatorName": "RONALD KERSTEN",
                    "customerResidenceStateDetails": "IN",
                    "employingFirmName": "STOCKCROSS FINANCIAL SERVICES",
                    "complaintWrittenFlag": true,
                    "complaintOralFlag": false,
                    "disclosureEventDateDetails": {
                        "date": "2010-07-15",
                        "exactDate": true
                    },
                    "disclosureEventPendingFlag": false,
                    "complaintDispositionTypeCode": "CLOSEDNOACTION",
                    "complaintDispositionDateDetails": {
                        "date": "2010-07-29",
                        "exactDate": true
                    },
                    "complaintCompensationDetails": {
                        "complaintCompensationTotalAmount": "0.00",
                        "complaintCompensationIndividualContributionAmount": "0.00"
                    },
                    "arbitrationLitigationFlag": false,
                    "commentText": "CLIENT WROTE THAT HE DID NOT SPECIFICALLY AUTHORIZE A TRADE IN HIS ACCOUNT.  FIRM CONTACTED, MISCOMMUNICATION BETWEEN CLIENT AND BROKER.  CLIENT ACCEPTED TRADE, NO ACTION TAKEN.",
                    "customerComplaintU4DisclosureQuestionSelection": [
                        "14I(3)(a)"
                    ],
                    "reportingObligationFlag": false
                }
            }
        ],
        "200510": [
            {
                "id": "e6096133-88e3-4680-b23b-cfc4b3a138c8",
                "baseline": true,
                "disclosureVersion": "10/2005",
                "drpIdentifierDetails": {
                    "disclosureIdentifier": 1218233,
                    "filingIdentifier": 60033889,
                    "occurrenceIdentifier": 1255506
                },
                "discloseToPublicFlag": true,
                "reportableFlag": true,
                "formU4CustomerComplaint": {
                    "initiatorName": "GONZALO CASTILLO",
                    "customerResidenceStateDetails": "CA",
                    "employingFirmName": "T D WATERHOUSE INVESTOR SERVICES",
                    "disclosureEventDetailText": "CLIENT ALLEGES NEGLIGENCE AND FRAUD",
                    "productType": "UIT",
                    "allegationAmount": "120000.00",
                    "disclosureEventDateDetails": {
                        "date": "2005-05-02",
                        "exactDate": true
                    },
                    "disclosureEventPendingFlag": false,
                    "complaintDispositionTypeCode": [
                        "SETTLED"
                    ],
                    "complaintDispositionDateDetails": {
                        "date": "2005-06-05",
                        "exactDate": true
                    },
                    "complaintCompensationTotalAmount": "65103.00",
                    "complaintCompensationIndividualContributionAmount": "0.00",
                    "customerComplaintU4DisclosureQuestionSelection": [
                        "14I(2)"
                    ]
                }
            },
            {
                "id": "785ef978-4cf0-48b1-ad5f-77c18d19ea2a",
                "baseline": true,
                "disclosureVersion": "10/2005",
                "drpIdentifierDetails": {
                    "disclosureIdentifier": 1084953,
                    "filingIdentifier": 14285855,
                    "occurrenceIdentifier": 1122188
                },
                "discloseToPublicFlag": false,
                "reportableFlag": false,
                "formU4CustomerComplaint": {
                    "initiatorName": "LARRY MCHENRY",
                    "customerResidenceStateDetails": "CA",
                    "employingFirmName": "TD WATERHOUSE INVESTOR SERVICES INC",
                    "disclosureEventDetailText": "CLIENT CLAIMS HE WAS SOLICITED FOR UNSUITABLE INVESTMENTS.",
                    "productType": "MUTUALFUND",
                    "allegationAmount": "12384.00",
                    "disclosureEventDateDetails": {
                        "date": "2002-12-23",
                        "exactDate": true
                    },
                    "disclosureEventPendingFlag": false,
                    "complaintDispositionTypeCode": [
                        "DENIED"
                    ],
                    "complaintDispositionDateDetails": {
                        "date": "2003-02-04",
                        "exactDate": true
                    },
                    "customerComplaintU4DisclosureQuestionSelection": [
                        "14I(3)(a)"
                    ]
                }
            },
            {
                "id": "0d391930-69a3-49a3-bcaf-70c0c3c3dc08",
                "baseline": true,
                "disclosureVersion": "10/2005",
                "drpIdentifierDetails": {
                    "disclosureIdentifier": 872399,
                    "filingIdentifier": 60033889,
                    "occurrenceIdentifier": 878788
                },
                "discloseToPublicFlag": true,
                "reportableFlag": true,
                "formU4CustomerComplaint": {
                    "initiatorName": "YASMIN ZIBARI",
                    "customerResidenceStateDetails": "CA",
                    "employingFirmName": "TD WATERHOUSE INVESTORS SERVICES, INC.",
                    "disclosureEventDetailText": "CUSTOMER ALLEGES REGISTERED REPRESENTATIVE BREACHED FIDUCIARY DUTY, MADE UNSUITABLE INVESTMENTS AND RECOMMENDATIONS CONTRARY TO INVESTMENT OBJECTIVES RELATING TO ACCOUNT ACTIVITY IN JANUARY 1999. CUSTOMER CLAIMS $111,037.47 PLUS PUNITIVE DAMAGES.",
                    "productType": "EQUITYOTC",
                    "productTypeOtherText": "UNIT INVESTMENT TRUSTS",
                    "allegationAmount": "111037.47",
                    "disclosureEventDateDetails": {
                        "date": "2000-07-11",
                        "exactDate": true
                    },
                    "disclosureEventPendingFlag": false,
                    "complaintDispositionTypeCode": [
                        "ARBITRATIONREPARATION"
                    ],
                    "complaintDispositionDateDetails": {
                        "date": "2000-07-11",
                        "exactDate": true
                    },
                    "arbitrationAuthorityDetailText": "NASD ARBITRATION\r\n#00-02687",
                    "arbitrationNoticeServedDateDetails": {
                        "date": "2000-07-11",
                        "exactDate": true
                    },
                    "arbitrationPendingFlag": false,
                    "arbitrationDispositionTypeCode": "AWARDCUSTOMER",
                    "arbitrationDispositionDateDetails": {
                        "date": "2001-11-05",
                        "exactDate": false,
                        "dateExplanation": "AWARD SERVED 11/5/01"
                    },
                    "arbitrationCompensationTotalAmount": "40000.00",
                    "arbitrationCompensationIndividualContributionAmount": "0.00",
                    "litigationCompensationTotalAmount": "0.00",
                    "litigationCompensationIndividualContributionAmount": "0.00",
                    "customerComplaintU4DisclosureQuestionSelection": [
                        "14I(1)(b)"
                    ]
                }
            }
        ]
    },
    "disclosureQuestions": {
        "bankruptcyDisclosure": {
            "u4K1IndividualBankruptcyCompromiseAnswerFlag": false,
            "u4K2OrganizationalBankruptcyCompromiseAnswerFlag": false,
            "u4K3OrganizationalBankruptcyAnswerFlag": false
        },
        "bondDisclosure": {
            "u4LBondAnswerFlag": false
        },
        "judgmentLienDisclosure": {
            "u4MJudgmentLienAnswerFlag": false
        },
        "civilJudicialDisclosure": {
            "u4H1ACivilJudicialAnswerFlag": false,
            "u4H1BCivilJudicialAnswerFlag": false,
            "u4H1CCivilJudicialAnswerFlag": false,
            "u4H2CivilJudicialAnswerFlag": false
        },
        "investigationDisclosure": {
            "u4G2InvestigationAnswerFlag": false
        },
        "terminationDisclosure": {
            "u4J1TerminationAnswerFlag": true,
            "u4J2TerminationAnswerFlag": false,
            "u4J3TerminationAnswerFlag": false
        },
        "criminalDisclosure": {
            "u4A1AIndividualCriminalAnswerFlag": false,
            "u4A1BIndividualCriminalAnswerFlag": false,
            "u4A2AOrganizationCriminalAnswerFlag": false,
            "u4A2BOrganizationCriminalAnswerFlag": false,
            "u4B1AIndividualCriminalAnswerFlag": false,
            "u4B1BIndividualCriminalAnswerFlag": false,
            "u4B2AOrganizationCriminalAnswerFlag": false,
            "u4B2BOrganizationCriminalAnswerFlag": false
        },
        "customerComplaintDisclosure": {
            "u4I1ACustomerComplaintAnswerFlag": false,
            "u4I1BCustomerComplaintAnswerFlag": true,
            "u4I1CCustomerComplaintAnswerFlag": false,
            "u4I1DCustomerComplaintAnswerFlag": true,
            "u4I2ACustomerComplaintAnswerFlag": true,
            "u4I2BCustomerComplaintAnswerFlag": false,
            "u4I3ACustomerComplaintAnswerFlag": false,
            "u4I3BCustomerComplaintAnswerFlag": false,
            "u4I4ACustomerComplaintAnswerFlag": false,
            "u4I4BCustomerComplaintAnswerFlag": false,
            "u4I5ACustomerComplaintAnswerFlag": false,
            "u4I5BCustomerComplaintAnswerFlag": false
        },
        "regulatoryActionDisclosure": {
            "u4C1RegulatoryActionAnswerFlag": false,
            "u4C2RegulatoryActionAnswerFlag": false,
            "u4C3RegulatoryActionAnswerFlag": false,
            "u4C4RegulatoryActionAnswerFlag": false,
            "u4C5RegulatoryActionAnswerFlag": false,
            "u4C6RegulatoryActionAnswerFlag": false,
            "u4C7RegulatoryActionAnswerFlag": false,
            "u4C8RegulatoryActionAnswerFlag": false,
            "u4D1ARegulatoryActionAnswerFlag": false,
            "u4D1BRegulatoryActionAnswerFlag": true,
            "u4D1CRegulatoryActionAnswerFlag": false,
            "u4D1DRegulatoryActionAnswerFlag": true,
            "u4D1ERegulatoryActionAnswerFlag": false,
            "u4D2ARegulatoryActionAnswerFlag": false,
            "u4D2BRegulatoryActionAnswerFlag": false,
            "u4E1RegulatoryActionAnswerFlag": false,
            "u4E2RegulatoryActionAnswerFlag": false,
            "u4E3RegulatoryActionAnswerFlag": false,
            "u4E4RegulatoryActionAnswerFlag": false,
            "u4E5RegulatoryActionAnswerFlag": false,
            "u4E6RegulatoryActionAnswerFlag": false,
            "u4E7RegulatoryActionAnswerFlag": false,
            "u4FRegulatoryActionAnswerFlag": false,
            "u4G1RegulatoryActionAnswerFlag": false
        }
    }
}

Validate the registration status of a registered individual with FINRA and the states independent of what firm they are affiliated with.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Organization

SRO

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
registration	registrationValidationIndividual	registrationValidationIndividualMock

Access to the Individual Registration Validation dataset is governed by specific Terms of Service.

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

Dataset Details

This endpoint allows FINRA member firms, as well as other financial services industry participants (e.g. insurance companies, mutual fund organizations, transfer agents, clearing firms, service providers, and FinTech solution providers) to validate the registration status of an individual, regardless of the individual's firm affiliation.

The scope of individuals included in this dataset include active registered individuals who are currently registered with a broker-dealer (inclusive of individuals registered as both RR & IAR). IA Only registered individuals are not included in this dataset.

This endpoint follows the Single Record Dataset structure: /data/group/{group name}/name/{dataset name}/id/{id} where the {id} field represents and individual CRD number.

The request will return either a 404 error code, if the individual CRD# is not found/invalid, or a response payload containing the following information for a valid CRD#:

Basic Information: Name, Individual CRD#
Current Employment: Firm Name and Firm CRD#
Registered States: State Name and Registration Status
Registered SROs: SRO Name and Registration Status

Testing Tips

To test this endpoint create a MOCK Credential using the API Console and use of the following test individual CRD numbers:

1234567
135712

These CRD numbers will return the payloads shown in the sample requests/response sections below.

A CRD number such as 123456789 will return a 404 code for testing purposes.

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

Sample Request #1

https://api.finra.org/data/group/registration/name/registrationvalidationindividualmock/id/1234567

Sample Response #1

{
    "firstName": "John",
    "lastName": "Doe",
    "registrations": [
         {
            "regulatorName": "FINRA",
            "isInactiveOrSuspended": "no",
            "regScope": null
        },
        {
            "regulatorName": "Alabama",
            "isInactiveOrSuspended": "no",
            "regScope": "IA"
        },
        {
            "regulatorName": "Arizona",
            "isInactiveOrSuspended": "no",
            "regScope": "IA"
        },
        {
            "regulatorName": "Arkansas",
            "isInactiveOrSuspended": "no",
            "regScope": "BC"
        },
        {
            "regulatorName": "California",
            "isInactiveOrSuspended": "no",
            "regScope": "BC"
        }
    ],
    "suffixName": null,
    "middleName": "Kent",
    "employments": [
        {
            "doingBusinessAsName": "Metropolis Markets, INC.",
            "firmCrdNumber": 11111,
            "isActive": "yes"
        },
        {
            "doingBusinessAsName": "Gotham Investments, INC.",
            "firmCrdNumber": 22222,
            "isActive": "yes"
        }
    ],
    "individualCrdNumber": 1234567
}

Sample Request #2

https://api.finra.org/data/group/registration/name/registrationvalidationindividualmock/id/135712

Sample Response #2

{
    "firstName": "Tom",
    "lastName": "Doe",
    "registrations": [
           {
            "regulatorName": "FINRA",
            "isInactiveOrSuspended": "no",
            "regScope": null
        }
    ],
    "suffixName": null,
    "middleName": "Stark",
    "employments": [
        {
            "doingBusinessAsName": "Stark Capital, INC.",
            "firmCrdNumber": 45623,
            "isActive": "yes"
        }
    ],
    "individualCrdNumber": null
}

Validate the registration status including disclosure details of a registered individual with FINRA and the states independent of what firm they are affiliated with.

API Credential Types

SRO

Quicklinks

Schema

Dataset Info:

group	dataset	test dataset
registration	IndividualRegistrationValidationDetails	IndividualRegistrationValidationDetailsMock

Access to the Individual Registration Validation Details dataset is governed by specific Terms of Service.

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

Dataset Details

This dataset allows SRO users to validate the registration status for an individual based on their Individual CRD Number. The dataset provides all the details that the Registered Individual Validation provides, plus the disclosure details for the individual.

The scope of individuals included in this dataset include:
1. All active registered individuals who are currently registered with a broker-dealer (inclusive of individuals registered as both RR & IAR)
2. All those who were active in last 10 years
3. All those who where active for over 10 years but have certain types of disclosure that require them being on BrokerCheck permanently
IA Only registered individuals are not included in this dataset.
The request will return either a 404 error code, if the individual CRD# is not found/invalid

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

Sample Request #1

https://api.finra.org/data/group/registration/name/IndividualRegistrationValidationDetailsMock/id/1234567

Sample Response #1

{
    "firstName": "John",
    "lastName": "Doe",
    "registrations": [
        {
            "regulatorName": "FINRA",
            "isInactiveOrSuspended": "no"
        },
        {
            "regulatorName": "Colorado",
            "isInactiveOrSuspended": "no"
        },
        {
            "regulatorName": "Connecticut",
            "isInactiveOrSuspended": "yes",
            "regScope": "BC"
        }
    ],
    "disclosureFlag": "Y",
    "middleName": "Kent",
    "employments": [
        {
            "doingBusinessAsName": "MetropolisMarkets,INC.",
            "firmCrdNumber": 11111,
            "isActive": "yes"
        },
        {
            "doingBusinessAsName": "GothamInvestments,INC.",
            "firmCrdNumber": 22222,
            "isActive": "yes"
        }
    ],
    "disclosures": [
        {
            "disclosureType": "Financial",
            "iaCtgryType": 10,
            "isBcExcludedCCFlag": "N",
            "disclosureResolution": "Final",
            "bcCtgryType": 10,
            "isIapdExcludedCCFlag": "N",
            "disclosureDetail": {
                "Type": "Compromise",
                "Disposition": "Satisfied/Released"
            },
            "eventDate": "5/15/2024"
        },
        {
            "disclosureType": "Financial",
            "iaCtgryType": 10,
            "isBcExcludedCCFlag": "N",
            "disclosureResolution": "Final",
            "bcCtgryType": 10,
            "isIapdExcludedCCFlag": "N",
            "disclosureDetail": {
                "Type": "Compromise",
                "Disposition": "Satisfied/Released"
            },
            "eventDate": "5/14/2024"
        }
    ],
    "individualCrdNumber": 1234567,
    "iaDisclosureFlag": "Y"
}

Detailed professional designation information for a registered individual.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualProfessionalDesignations	registeredIndividualProfessionalDesignationsMock

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

Sample Request

https://api.finra.org/data/group/firm/name/registeredIndividualProfessionalDesignationsMock?limit=5

Sample Response

[
    {
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1,
        "professionalDesignations": [
            {
                "designationTypeName": "Chartered Financial Analyst",
                "firstFilingFirmCrdNumber": 3000005,
                "firstFilingType": "U4",
                "lastFilingDate": null,
                "firstFilingFirmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "designationAuthorityName": "CFA Institute",
                "firstFilingDate": "2002-10-15",
                "lastFilingType": null,
                "designationTypeCode": "CFA",
                "lastFilingFirmCrdNumber": null,
                "lastFilingFirmName": null
            }
        ]
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10,
        "professionalDesignations": [
            {
                "designationTypeName": "Personal Financial Specialist",
                "firstFilingFirmCrdNumber": 3000005,
                "firstFilingType": "U4",
                "lastFilingDate": null,
                "firstFilingFirmName": "MAC INSURANCE SERVICES, INC.",
                "designationAuthorityName": "American Institute of Certified Public Accountants",
                "firstFilingDate": "2014-08-25",
                "lastFilingType": null,
                "designationTypeCode": "PFS",
                "lastFilingFirmCrdNumber": null,
                "lastFilingFirmName": null
            }
        ]
    },
    {
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            },
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10000
    }
]

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

Sample Request

https://api.finra.org/data/group/firm/name/registeredIndividualProfessionalDesignationsMock

Sample Request Payload

{
"compareFilters": [ 
{"compareType": "equal", "fieldName": "individualCrdNumber", "fieldValue":10 }
]
}

Sample Response

[
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10,
        "professionalDesignations": [
            {
                "designationTypeName": "Personal Financial Specialist",
                "firstFilingFirmCrdNumber": 3000005,
                "firstFilingType": "U4",
                "lastFilingDate": null,
                "firstFilingFirmName": "MAC INSURANCE SERVICES, INC.",
                "designationAuthorityName": "American Institute of Certified Public Accountants",
                "firstFilingDate": "2014-08-25",
                "lastFilingType": null,
                "designationTypeCode": "PFS",
                "lastFilingFirmCrdNumber": null,
                "lastFilingFirmName": null
            }
        ]
    }
]

Detailed information about the examination status of a registered individual.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualExams	registeredIndividualExamsMock

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

Sample Request

https://api.finra.org/data/group/firm/name/registeredIndividualExamsMock?limit=5

Sample Response

[
    {
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "exams": [
            {
                "examValidityFlag": null,
                "testCenterName": null,
                "appointmentStatusCode": null,
                "examCode": "S27",
                "testCenterId": null,
                "windowBeginDate": "2008-11-01",
                "examPendingFlag": null,
                "examStatusDate": "2008-12-24",
                "examValidityUntilDate": "2010-12-24",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": null,
                "examTakenDate": "2008-12-24",
                "examName": "Financial and Operations Principal Examination",
                "examStatus": "OFFICIAL_RESULT",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2009-01-01",
                "examGradeCode": "PASSED",
                "waivedByRegulatorName": null,
                "confirmationNumber": null,
                "testCenterCity": null,
                "examScore": null,
                "testCenterState": null,
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": null,
                "appointmentStatusCode": null,
                "examCode": "S37",
                "testCenterId": null,
                "windowBeginDate": "2013-02-01",
                "examPendingFlag": null,
                "examStatusDate": "2013-03-12",
                "examValidityUntilDate": "2015-03-12",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": null,
                "examTakenDate": "2013-03-12",
                "examName": "Canada Module of the General Securities Registered Representative (With Options Questions)",
                "examStatus": "OFFICIAL_RESULT",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2013-04-01",
                "examGradeCode": "PASSED",
                "waivedByRegulatorName": null,
                "confirmationNumber": null,
                "testCenterCity": null,
                "examScore": null,
                "testCenterState": null,
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": "ofNjVWhCgpRsOWgwftes",
                "appointmentStatusCode": null,
                "examCode": "S54",
                "testCenterId": -3435586610866399980,
                "windowBeginDate": "2012-11-01",
                "examPendingFlag": null,
                "examStatusDate": "2012-12-16",
                "examValidityUntilDate": "2014-12-16",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": "USA",
                "examTakenDate": "2012-12-16",
                "examName": "Municipal Securities Financial and Operations Principal Examination",
                "examStatus": "SCHEDULED",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2013-01-01",
                "examGradeCode": "FAILED",
                "waivedByRegulatorName": null,
                "confirmationNumber": "5445289533",
                "testCenterCity": "pJqepvQaRK",
                "examScore": 44,
                "testCenterState": "EK",
                "appointmentDate": null
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10
    },
    {
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "exams": [
            {
                "examValidityFlag": null,
                "testCenterName": "nPtVCyHUBvRlMIuARRkr",
                "appointmentStatusCode": null,
                "examCode": "S33",
                "testCenterId": -2774730915379793468,
                "windowBeginDate": "2016-03-01",
                "examPendingFlag": null,
                "examStatusDate": "2016-04-11",
                "examValidityUntilDate": "2018-04-11",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": "USA",
                "examTakenDate": "2016-04-11",
                "examName": "Financial Instruments Examination",
                "examStatus": "RESCHEDULED",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2016-05-01",
                "examGradeCode": "PASSED",
                "waivedByRegulatorName": null,
                "confirmationNumber": "2118770258",
                "testCenterCity": "RInaeFQKWg",
                "examScore": null,
                "testCenterState": "VS",
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": "irvBLXWQNqCdJeODXBuH",
                "appointmentStatusCode": null,
                "examCode": "S46",
                "testCenterId": 5336380999444383148,
                "windowBeginDate": "2007-06-01",
                "examPendingFlag": null,
                "examStatusDate": "2007-07-19",
                "examValidityUntilDate": "2009-07-19",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": "USA",
                "examTakenDate": "2007-07-19",
                "examName": "PCX Market Maker acting as a Floor Broker Exam",
                "examStatus": "RESCHEDULED",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2007-08-01",
                "examGradeCode": "PASSED",
                "waivedByRegulatorName": null,
                "confirmationNumber": "8946944742",
                "testCenterCity": "uRpMcBTtvs",
                "examScore": null,
                "testCenterState": "KF",
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": "eLWcmIlwCyCIYbIXZVqW",
                "appointmentStatusCode": null,
                "examCode": "S54",
                "testCenterId": -1705362706495635752,
                "windowBeginDate": "2015-09-01",
                "examPendingFlag": null,
                "examStatusDate": "2015-09-16",
                "examValidityUntilDate": "2017-09-16",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": "USA",
                "examTakenDate": "2015-09-16",
                "examName": "Municipal Securities Financial and Operations Principal Examination",
                "examStatus": "SCHEDULED",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2015-11-01",
                "examGradeCode": "FAILED",
                "waivedByRegulatorName": null,
                "confirmationNumber": "8162986506",
                "testCenterCity": "YBFZIyotAM",
                "examScore": 14,
                "testCenterState": "XH",
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": "HkZVcVFqzUFndfqDFmNx",
                "appointmentStatusCode": null,
                "examCode": "S28",
                "testCenterId": 152792623342201224,
                "windowBeginDate": "2007-07-01",
                "examPendingFlag": null,
                "examStatusDate": "2007-07-16",
                "examValidityUntilDate": "2009-07-16",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": "USA",
                "examTakenDate": "2007-07-16",
                "examName": "Introducing Broker/Dealer Financial Operations Principal Examination",
                "examStatus": "SCHEDULED",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2007-09-01",
                "examGradeCode": "FAILED",
                "waivedByRegulatorName": null,
                "confirmationNumber": "3122176820",
                "testCenterCity": "gBhOzdaIqE",
                "examScore": 1,
                "testCenterState": "WK",
                "appointmentDate": null
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "exams": [
            {
                "examValidityFlag": null,
                "testCenterName": null,
                "appointmentStatusCode": null,
                "examCode": "S14",
                "testCenterId": null,
                "windowBeginDate": "2008-06-01",
                "examPendingFlag": null,
                "examStatusDate": "2008-06-25",
                "examValidityUntilDate": "2010-06-25",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": null,
                "examTakenDate": "2008-06-25",
                "examName": "Compliance Officer Examination",
                "examStatus": "WITHDRAW",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2008-08-01",
                "examGradeCode": "FAILED",
                "waivedByRegulatorName": null,
                "confirmationNumber": null,
                "testCenterCity": null,
                "examScore": 48,
                "testCenterState": null,
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": null,
                "appointmentStatusCode": null,
                "examCode": "S901",
                "testCenterId": null,
                "windowBeginDate": "2010-07-01",
                "examPendingFlag": null,
                "examStatusDate": "2010-07-03",
                "examValidityUntilDate": "2012-07-03",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": null,
                "examTakenDate": "2010-07-03",
                "examName": "S901",
                "examStatus": "WITHDRAW",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2010-09-01",
                "examGradeCode": "FAILED",
                "waivedByRegulatorName": null,
                "confirmationNumber": null,
                "testCenterCity": null,
                "examScore": 19,
                "testCenterState": null,
                "appointmentDate": null
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "exams": [
            {
                "examValidityFlag": null,
                "testCenterName": null,
                "appointmentStatusCode": null,
                "examCode": "S201",
                "testCenterId": null,
                "windowBeginDate": "2000-09-01",
                "examPendingFlag": null,
                "examStatusDate": "2000-10-14",
                "examValidityUntilDate": "2002-10-14",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": null,
                "examTakenDate": "2000-10-14",
                "examName": "S201",
                "examStatus": "OFFICIAL_RESULT",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2000-11-01",
                "examGradeCode": "PASSED",
                "waivedByRegulatorName": null,
                "confirmationNumber": null,
                "testCenterCity": null,
                "examScore": null,
                "testCenterState": null,
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": null,
                "appointmentStatusCode": null,
                "examCode": "S14A",
                "testCenterId": null,
                "windowBeginDate": "2004-01-01",
                "examPendingFlag": null,
                "examStatusDate": "2004-01-15",
                "examValidityUntilDate": "2006-01-15",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": null,
                "examTakenDate": "2004-01-15",
                "examName": "Compliance Official Specialist Exam",
                "examStatus": "OFFICIAL_RESULT",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2004-03-01",
                "examGradeCode": "PASSED",
                "waivedByRegulatorName": null,
                "confirmationNumber": null,
                "testCenterCity": null,
                "examScore": null,
                "testCenterState": null,
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": "JclfJnrGlXgnwGZoDRcP",
                "appointmentStatusCode": null,
                "examCode": "S2",
                "testCenterId": -7130959705640416347,
                "windowBeginDate": "2008-11-01",
                "examPendingFlag": null,
                "examStatusDate": "2008-12-30",
                "examValidityUntilDate": "2010-12-30",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": "USA",
                "examTakenDate": "2008-12-30",
                "examName": "Non-Member General Securities Examination",
                "examStatus": "RESCHEDULED",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2009-01-01",
                "examGradeCode": "PASSED",
                "waivedByRegulatorName": null,
                "confirmationNumber": "4920206534",
                "testCenterCity": "FWFOYAaEOs",
                "examScore": null,
                "testCenterState": "CV",
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": "PvjQfXlXnsACDStiqsCC",
                "appointmentStatusCode": null,
                "examCode": "S19",
                "testCenterId": -6033378647599482690,
                "windowBeginDate": "2014-05-01",
                "examPendingFlag": null,
                "examStatusDate": "2014-05-31",
                "examValidityUntilDate": "2016-05-31",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": "USA",
                "examTakenDate": "2014-05-31",
                "examName": "NYSE Floor Clerk - Equities Examination",
                "examStatus": "SCHEDULED",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2014-07-01",
                "examGradeCode": "FAILED",
                "waivedByRegulatorName": null,
                "confirmationNumber": "2191452795",
                "testCenterCity": "XgSdofSCWh",
                "examScore": 48,
                "testCenterState": "PX",
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": null,
                "appointmentStatusCode": null,
                "examCode": "S87",
                "testCenterId": null,
                "windowBeginDate": "2002-05-01",
                "examPendingFlag": null,
                "examStatusDate": "2002-05-19",
                "examValidityUntilDate": "2004-05-19",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": null,
                "examTakenDate": "2002-05-19",
                "examName": "Research Analyst Exam - Part II Regulations Module",
                "examStatus": "OFFICIAL_RESULT",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2002-07-01",
                "examGradeCode": "PASSED",
                "waivedByRegulatorName": null,
                "confirmationNumber": null,
                "testCenterCity": null,
                "examScore": null,
                "testCenterState": null,
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": null,
                "appointmentStatusCode": null,
                "examCode": "S47",
                "testCenterId": null,
                "windowBeginDate": "2014-08-01",
                "examPendingFlag": null,
                "examStatusDate": "2014-08-15",
                "examValidityUntilDate": "2016-08-15",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": null,
                "examTakenDate": "2014-08-15",
                "examName": "S47",
                "examStatus": "WITHDRAW",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2014-10-01",
                "examGradeCode": "FAILED",
                "waivedByRegulatorName": null,
                "confirmationNumber": null,
                "testCenterCity": null,
                "examScore": 12,
                "testCenterState": null,
                "appointmentDate": null
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            },
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10000
    }
]

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

Sample Request

https://api.finra.org/data/group/firm/name/registeredIndividualExamsMock

Sample Request Payload

{
"compareFilters": [ 
{"compareType": "equal", "fieldName": "individualCrdNumber", "fieldValue":10 }
]
}

Sample Response

[
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "exams": [
            {
                "examValidityFlag": null,
                "testCenterName": null,
                "appointmentStatusCode": null,
                "examCode": "S27",
                "testCenterId": null,
                "windowBeginDate": "2008-11-01",
                "examPendingFlag": null,
                "examStatusDate": "2008-12-24",
                "examValidityUntilDate": "2010-12-24",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": null,
                "examTakenDate": "2008-12-24",
                "examName": "Financial and Operations Principal Examination",
                "examStatus": "OFFICIAL_RESULT",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2009-01-01",
                "examGradeCode": "PASSED",
                "waivedByRegulatorName": null,
                "confirmationNumber": null,
                "testCenterCity": null,
                "examScore": null,
                "testCenterState": null,
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": null,
                "appointmentStatusCode": null,
                "examCode": "S37",
                "testCenterId": null,
                "windowBeginDate": "2013-02-01",
                "examPendingFlag": null,
                "examStatusDate": "2013-03-12",
                "examValidityUntilDate": "2015-03-12",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": null,
                "examTakenDate": "2013-03-12",
                "examName": "Canada Module of the General Securities Registered Representative (With Options Questions)",
                "examStatus": "OFFICIAL_RESULT",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2013-04-01",
                "examGradeCode": "PASSED",
                "waivedByRegulatorName": null,
                "confirmationNumber": null,
                "testCenterCity": null,
                "examScore": null,
                "testCenterState": null,
                "appointmentDate": null
            },
            {
                "examValidityFlag": null,
                "testCenterName": "ofNjVWhCgpRsOWgwftes",
                "appointmentStatusCode": null,
                "examCode": "S54",
                "testCenterId": -3435586610866399980,
                "windowBeginDate": "2012-11-01",
                "examPendingFlag": null,
                "examStatusDate": "2012-12-16",
                "examValidityUntilDate": "2014-12-16",
                "vendor": null,
                "examValidityStatus": "EXPIRED",
                "testCenterCountry": "USA",
                "examTakenDate": "2012-12-16",
                "examName": "Municipal Securities Financial and Operations Principal Examination",
                "examStatus": "SCHEDULED",
                "waivedByRegulatorCode": null,
                "waiverReasonName": null,
                "windowEndDate": "2013-01-01",
                "examGradeCode": "FAILED",
                "waivedByRegulatorName": null,
                "confirmationNumber": "5445289533",
                "testCenterCity": "pJqepvQaRK",
                "examScore": 44,
                "testCenterState": "EK",
                "appointmentDate": null
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10
    }
]

Access CRD Numbers for registered individuals.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Organization

SRO

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
registration	RegisteredIndividualSearch	RegisteredIndividualSearchMock

Dataset Details

The RegisteredIndividualSearch dataset enables firms and organizations to get CRD Numbers of registered individuals regardless if the individual is associated with the requesting firm/org or not.

To utilize the RegisteredIndividualSearch dataset you must utilize a POST request and provide one of the following combinations as compare filters in the request body:

SSN + Date of Birth of individual to search for
Date of Birth + First Name
Date of Birth+ Last Name

SSN should be formatted as: "###-##-####" example: 123-45-6789

DOB should be formatted as " MM-DD" example: 05-25

Notes:

SSN must be provided if the registered individual has an SSN. You can only use the DOB + FirstName/LastName input option when an individual does not have an SSN (e.g. international individual). No data will be provided for requests without an SSN when the user has an SSN as part of their registration records.
DOB does not include the year.
Request using DOB + Name may receive multiple records in response.

Example Payloads

{
    "compareFilters": [
        {
            "fieldName": "dateOfBirth",
            "fieldValue": "05-25",
            "compareType": "EQUAL"
        },
        {
            "fieldName": "ssn",
            "fieldValue": "123-45-6789",
            "compareType": "EQUAL"
        }
    ]
}

{
    "compareFilters": [
        {
            "fieldName": "dateOfBirth",
            "fieldValue": "05-25",
            "compareType": "EQUAL"
        },
        {
            "fieldName": "firstName",
            "fieldValue": "john",
            "compareType": "EQUAL"
        }
    ]
}

{
    "compareFilters": [
        {
            "fieldName": "dateOfBirth",
            "fieldValue": "05-25",
            "compareType": "EQUAL"
        },
        {
            "fieldName": "lastname",
            "fieldValue": "smith",
            "compareType": "EQUAL"
        }
    ]
}

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

Sample Request

https://api.finra.org/data/group/registration/name/RegisteredIndividualSearchMock

Sample Request Payload

{
    "compareFilters": [
        {
            "fieldName": "dateOfBirth",
            "fieldValue": "05-25",
            "compareType": "EQUAL"
        },
        {
            "fieldName": "ssn",
            "fieldValue": "123-45-6789",
            "compareType": "EQUAL"
        }
    ]
}

Sample Response

{
    "individualCrdNumbers": [
        "2076"
    ]
}

Basic information about all individuals currently and formerly employed by a firm.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividual	registeredIndividualMock

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

Sample Request

https://api.finra.org/data/group/firm/name/registeredIndividualMock?limit=5

Sample Response

[
    {
        "lastName": "Membiela",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "QjjQbekPOdYDAvGKhUwb",
                "affiliationFirmCrdNumber": 6862541356646069356,
                "affiliationType": "relying advisor control person"
            }
        ],
        "attestationStatus": null,
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": null,
        "finproUserFlag": "NO",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": null,
        "firstName": "Derayne",
        "finproLastAccessDate": null,
        "statutoryDisqualificationCode": null,
        "otherBusiness": null,
        "middleName": null,
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 1
    },
    {
        "lastName": "Portela",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "WjcIvcDVxzpDzSpUIpcK",
                "affiliationFirmCrdNumber": 5293805205696410237,
                "affiliationType": "relying advisor control person"
            }
        ],
        "attestationStatus": null,
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": null,
        "finproUserFlag": "NO",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": null,
        "firstName": "Jourdan",
        "finproLastAccessDate": null,
        "statutoryDisqualificationCode": null,
        "otherBusiness": null,
        "middleName": null,
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 10
    },
    {
        "lastName": "Olaciregui",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "vmxFBrUGmjdNqbeBcihr",
                "affiliationFirmCrdNumber": -3030638805770951705,
                "affiliationType": "relying advisor control person"
            }
        ],
        "attestationStatus": null,
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": null,
        "finproUserFlag": "NO",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": null,
        "firstName": "Loise",
        "finproLastAccessDate": null,
        "statutoryDisqualificationCode": null,
        "otherBusiness": null,
        "middleName": "Holtorf",
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 100
    },
    {
        "lastName": "Perez De Heredia",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "PiNWIPkAXSNKSBTdtQka",
                "affiliationFirmCrdNumber": 1354592929594687791,
                "affiliationType": "relying advisor control person"
            }
        ],
        "attestationStatus": "Data Correct",
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": "2018-05-21",
        "finproAttestations": [
            {
                "attestationStatus": "Data Correct",
                "attestationStatusTimestamp": "2021-07-14 18:08:14"
            },
            {
                "attestationStatus": "Data Incorrect",
                "attestationStatusTimestamp": "2021-07-14 17:08:14"
            }
        ],
        "finproUserFlag": "YES",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": "2021-07-14 18:08:14",
        "firstName": "Bernie",
        "finproLastAccessDate": "2018-10-08",
        "statutoryDisqualificationCode": null,
        "otherBusiness": null,
        "middleName": null,
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 1000
    },
    {
        "lastName": "Fabios",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "jifOMjxQFsIhzFpRMyIL",
                "affiliationFirmCrdNumber": -8234046724254127978,
                "affiliationType": "direct owner"
            }
        ],
        "attestationStatus": null,
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": null,
        "finproUserFlag": "NO",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            },
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": null,
        "firstName": "Susanna",
        "finproLastAccessDate": null,
        "statutoryDisqualificationCode": null,
        "otherBusiness": null,
        "middleName": null,
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 10000
    }
]

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

Sample Request

https://api.finra.org/data/group/firm/name/registeredIndividualMock

Sample Request Payload

{
"compareFilters": [ 
{"compareType": "lesser", "fieldName": "individualCrdNumber", "fieldValue":10 }
]
}

Sample Response

[
    {
        "lastName": "Membiela",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "QjjQbekPOdYDAvGKhUwb",
                "affiliationFirmCrdNumber": 6862541356646069356,
                "affiliationType": "relying advisor control person"
            }
        ],
        "attestationStatus": null,
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": null,
        "finproUserFlag": "NO",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": null,
        "firstName": "Derayne",
        "finproLastAccessDate": null,
        "statutoryDisqualificationCode": null,
        "otherBusiness": null,
        "middleName": null,
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 1
    },
    {
        "lastName": "Combalia",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "ZIAIQRHifGGbbhjvwoVV",
                "affiliationFirmCrdNumber": 2069419612488707219,
                "affiliationType": "indirect owner"
            }
        ],
        "attestationStatus": null,
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "ISE"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": null,
        "finproUserFlag": "NO",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            },
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": null,
        "firstName": "Geesey",
        "finproLastAccessDate": null,
        "statutoryDisqualificationCode": null,
        "otherBusiness": null,
        "middleName": null,
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 2
    },
    {
        "lastName": "Urkizu",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "FdlbZzplAuzeNKiyoqPt",
                "affiliationFirmCrdNumber": 3998416803367797339,
                "affiliationType": "indirect owner"
            }
        ],
        "attestationStatus": null,
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "ISE GEMX"
            },
            {
                "regulatorCode": "LTSE"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": null,
        "finproUserFlag": "NO",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": null,
        "firstName": "Cristiona",
        "finproLastAccessDate": null,
        "statutoryDisqualificationCode": "Yes - Approval/Denial Pending",
        "otherBusiness": null,
        "middleName": null,
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 3
    },
    {
        "lastName": "Ashton",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "vrlFPccczARzECCGMgqB",
                "affiliationFirmCrdNumber": 6120935849927548528,
                "affiliationType": "relying advisor control person"
            }
        ],
        "attestationStatus": null,
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "NYSE-NAT"
            },
            {
                "regulatorCode": "NYSE"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": null,
        "finproUserFlag": "NO",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            },
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": null,
        "firstName": "Auburn",
        "finproLastAccessDate": null,
        "statutoryDisqualificationCode": "Yes",
        "otherBusiness": null,
        "middleName": null,
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 4
    },
    {
        "lastName": "Pedroche",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "xSedjZKLAOxXmGxUMyHl",
                "affiliationFirmCrdNumber": -6063974753254122206,
                "affiliationType": "relying advisor control person"
            }
        ],
        "attestationStatus": "Data Correct",
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "WV"
            },
            {
                "regulatorCode": "BX"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": "2020-06-17",
        "finproAttestations": [
            {
                "attestationStatus": "Data Correct",
                "attestationStatusTimestamp": "2021-07-14 18:07:04"
            },
            {
                "attestationStatus": "Data Incorrect",
                "attestationStatusTimestamp": "2021-07-14 17:07:04"
            }
        ],
        "finproUserFlag": "YES",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": "2021-07-14 18:07:04",
        "firstName": "Hebel",
        "finproLastAccessDate": "2021-01-22",
        "statutoryDisqualificationCode": null,
        "otherBusiness": null,
        "middleName": null,
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 5
    },
    {
        "lastName": "Vaquero",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "ZMBLKYDsnLkSQRFQtuVO",
                "affiliationFirmCrdNumber": 4998304539823487708,
                "affiliationType": "relying advisor control person"
            }
        ],
        "attestationStatus": "Data Correct",
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "CBOE BYX"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": "2019-11-16",
        "finproAttestations": [
            {
                "attestationStatus": "Data Correct",
                "attestationStatusTimestamp": "2021-07-14 18:07:04"
            },
            {
                "attestationStatus": "Data Incorrect",
                "attestationStatusTimestamp": "2021-07-14 17:07:04"
            }
        ],
        "finproUserFlag": "YES",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            },
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": "2021-07-14 18:07:04",
        "firstName": "Aubert",
        "finproLastAccessDate": "2020-03-30",
        "statutoryDisqualificationCode": null,
        "otherBusiness": null,
        "middleName": "Schilling",
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 6
    },
    {
        "lastName": "Argaiz",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "QPVVytYSxgnOHtHJTYJZ",
                "affiliationFirmCrdNumber": 5917909857478129497,
                "affiliationType": "direct owner"
            }
        ],
        "attestationStatus": null,
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "NYSE-ARCA"
            },
            {
                "regulatorCode": "BOX"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": null,
        "finproUserFlag": "NO",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            },
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": null,
        "firstName": "Madden",
        "finproLastAccessDate": null,
        "statutoryDisqualificationCode": null,
        "otherBusiness": null,
        "middleName": null,
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 7
    },
    {
        "lastName": "Inguanzo",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "PBIMhXoEgYvXKtqiXNEd",
                "affiliationFirmCrdNumber": 8142827401662318308,
                "affiliationType": "relying advisor control person"
            }
        ],
        "attestationStatus": null,
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "KY"
            },
            {
                "regulatorCode": "CBOE C2"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": null,
        "finproUserFlag": "NO",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": null,
        "firstName": "Summons",
        "finproLastAccessDate": null,
        "statutoryDisqualificationCode": null,
        "otherBusiness": null,
        "middleName": null,
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 8
    },
    {
        "lastName": "Carrancio",
        "investmentAdvisorAffiliations": [
            {
                "affiliationFirmName": "wYpyOmmTzBLZxADoyxfe",
                "affiliationFirmCrdNumber": 7010354679269019279,
                "affiliationType": "indirect owner"
            }
        ],
        "attestationStatus": null,
        "statutoryDisqualification": null,
        "registrations": [
            {
                "regulatorCode": "NYSE"
            },
            {
                "regulatorCode": "CBOE EDGX"
            }
        ],
        "wasAssociatedWithDisciplinedFirmFlag": null,
        "finproAccountCreateDate": null,
        "finproUserFlag": "NO",
        "employments": [
            {
                "firmCrdNumber": 3000005,
                "isActive": "YES"
            }
        ],
        "attestationStatusTimestamp": null,
        "firstName": "Wehrle",
        "finproLastAccessDate": null,
        "statutoryDisqualificationCode": null,
        "otherBusiness": null,
        "middleName": "Kenison",
        "outsideBusinessFlag": "NO",
        "individualCrdNumber": 9
    }
]

History of registration statuses for a registered individual.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualRegistrationStatusHistory	registeredIndividualRegistrationStatusHistoryMock

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

Sample Request

https://api.finra.org/data/group/firm/name/registeredIndividualRegistrationStatusHistoryMock?limit=5

Sample Response

[
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "PURGED",
                "registrationCategoryName": "General Securities Principal",
                "registrationCategoryCode": "GP",
                "registrationStatusName": "Purged",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "statusEffectiveDate": "2021-03-14"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "DENIED",
                "registrationCategoryName": "General Securities Principal",
                "registrationCategoryCode": "GP",
                "registrationStatusName": "Denied",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "statusEffectiveDate": "2020-12-14"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "BAR",
                "registrationCategoryName": "General Securities Principal",
                "registrationCategoryCode": "GP",
                "registrationStatusName": "Bar",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "statusEffectiveDate": "2019-12-14"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "ABANDONED",
                "registrationCategoryName": "General Securities Principal",
                "registrationCategoryCode": "GP",
                "registrationStatusName": "Abandoned",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "statusEffectiveDate": "2021-12-14"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "ADMTERM",
                "registrationCategoryName": "General Securities Principal",
                "registrationCategoryCode": "GP",
                "registrationStatusName": "Administrative Termination",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "statusEffectiveDate": "2020-08-14"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "REVOKED",
                "registrationCategoryName": "General Securities Principal",
                "registrationCategoryCode": "GP",
                "registrationStatusName": "Revoked",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "statusEffectiveDate": "2020-03-14"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "T_NOU5",
                "registrationCategoryName": "General Securities Principal",
                "registrationCategoryCode": "GP",
                "registrationStatusName": "Terminated Without U5",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "statusEffectiveDate": "2021-02-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "MASS_TRNSF",
                "registrationCategoryName": "Securities Trader Principal",
                "registrationCategoryCode": "TP",
                "registrationStatusName": "Termed Mass Transfer",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "statusEffectiveDate": "2020-08-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_ERROR",
                "registrationCategoryName": "Securities Trader Principal",
                "registrationCategoryCode": "TP",
                "registrationStatusName": "Not Transitioned - Filed In Error",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "statusEffectiveDate": "2020-01-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUEST_TERM",
                "registrationCategoryName": "Securities Trader Principal",
                "registrationCategoryCode": "TP",
                "registrationStatusName": "Termination Requested",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "statusEffectiveDate": "2021-05-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ABANDONED",
                "registrationCategoryName": "Securities Trader Principal",
                "registrationCategoryCode": "TP",
                "registrationStatusName": "Abandoned",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "statusEffectiveDate": "2022-05-14"
            }
        ],
        "individualCrdNumber": 1
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "DENIED",
                "registrationCategoryName": "Trading Assistant",
                "registrationCategoryCode": "TA",
                "registrationStatusName": "Denied",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-11-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPRNT",
                "registrationCategoryName": "Trading Assistant",
                "registrationCategoryCode": "TA",
                "registrationStatusName": "Approved Pending Prints",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2021-05-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Trading Assistant",
                "registrationCategoryCode": "TA",
                "registrationStatusName": "Termed",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-02-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUEST_TERM",
                "registrationCategoryName": "Trading Assistant",
                "registrationCategoryCode": "TA",
                "registrationStatusName": "Termination Requested",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-08-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "SUSPENSION",
                "registrationCategoryName": "Trading Assistant",
                "registrationCategoryCode": "TA",
                "registrationStatusName": "Suspended",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-06-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "CE_INACTIVE",
                "registrationCategoryName": "Trading Assistant",
                "registrationCategoryCode": "TA",
                "registrationStatusName": "Inactive - Continuing Education",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2021-11-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUAL",
                "registrationCategoryName": "Trading Assistant",
                "registrationCategoryCode": "TA",
                "registrationStatusName": "Requalification",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-11-14"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "T_NOU5",
                "registrationCategoryName": "Investment Co./Variable Contracts Prin",
                "registrationCategoryCode": "IP",
                "registrationStatusName": "Terminated Without U5",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2021-01-14"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "TEMPREG",
                "registrationCategoryName": "Investment Co./Variable Contracts Prin",
                "registrationCategoryCode": "IP",
                "registrationStatusName": "Temporary Registration",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-03-14"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "TEMPREG",
                "registrationCategoryName": "Investment Co./Variable Contracts Prin",
                "registrationCategoryCode": "IP",
                "registrationStatusName": "Temporary Registration",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-02-14"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "IN_PF",
                "registrationCategoryName": "Investment Co./Variable Contracts Prin",
                "registrationCategoryCode": "IP",
                "registrationStatusName": "In Process Filing",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2021-10-14"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "REQUEST_TERM",
                "registrationCategoryName": "Investment Co./Variable Contracts Prin",
                "registrationCategoryCode": "IP",
                "registrationStatusName": "Termination Requested",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2021-12-14"
            },
            {
                "regulatorName": "Nasdaq Stock Market",
                "registrationStatusCode": "REJECTED",
                "registrationCategoryName": "Investment Co./Variable Contracts Prin",
                "registrationCategoryCode": "IP",
                "registrationStatusName": "Rejected",
                "regulatorCode": "NQX",
                "firmCrdNumber": 3000005,
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-04-14"
            }
        ],
        "individualCrdNumber": 10
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "Cboe C2 Exchange, Inc.",
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "International - Limited Registration",
                "registrationCategoryCode": "IE",
                "registrationStatusName": "Termed",
                "regulatorCode": "CBOE C2",
                "firmCrdNumber": 3000005,
                "firmName": "RICHY TRADING CO.",
                "statusEffectiveDate": "2022-03-14"
            },
            {
                "regulatorName": "Cboe C2 Exchange, Inc.",
                "registrationStatusCode": "T_NOMT",
                "registrationCategoryName": "International - Limited Registration",
                "registrationCategoryCode": "IE",
                "registrationStatusName": "Termed-Did Not Mass Transfer",
                "regulatorCode": "CBOE C2",
                "firmCrdNumber": 3000005,
                "firmName": "RICHY TRADING CO.",
                "statusEffectiveDate": "2021-01-14"
            },
            {
                "regulatorName": "Cboe C2 Exchange, Inc.",
                "registrationStatusCode": "REQUAL",
                "registrationCategoryName": "International - Limited Registration",
                "registrationCategoryCode": "IE",
                "registrationStatusName": "Requalification",
                "regulatorCode": "CBOE C2",
                "firmCrdNumber": 3000005,
                "firmName": "RICHY TRADING CO.",
                "statusEffectiveDate": "2020-01-14"
            },
            {
                "regulatorName": "Cboe C2 Exchange, Inc.",
                "registrationStatusCode": "TRANS_RQST",
                "registrationCategoryName": "International - Limited Registration",
                "registrationCategoryCode": "IE",
                "registrationStatusName": "Transition Requested",
                "regulatorCode": "CBOE C2",
                "firmCrdNumber": 3000005,
                "firmName": "RICHY TRADING CO.",
                "statusEffectiveDate": "2022-04-14"
            },
            {
                "regulatorName": "Cboe C2 Exchange, Inc.",
                "registrationStatusCode": "T_NOREG_MT",
                "registrationCategoryName": "International - Limited Registration",
                "registrationCategoryCode": "IE",
                "registrationStatusName": "Terminated no registration Mass Transfer",
                "regulatorCode": "CBOE C2",
                "firmCrdNumber": 3000005,
                "firmName": "RICHY TRADING CO.",
                "statusEffectiveDate": "2021-04-14"
            },
            {
                "regulatorName": "Cboe C2 Exchange, Inc.",
                "registrationStatusCode": "CE_INACTIVE",
                "registrationCategoryName": "International - Limited Registration",
                "registrationCategoryCode": "IE",
                "registrationStatusName": "Inactive - Continuing Education",
                "regulatorCode": "CBOE C2",
                "firmCrdNumber": 3000005,
                "firmName": "RICHY TRADING CO.",
                "statusEffectiveDate": "2020-07-14"
            },
            {
                "regulatorName": "Cboe C2 Exchange, Inc.",
                "registrationStatusCode": "REQUEST_TERM",
                "registrationCategoryName": "International - Limited Registration",
                "registrationCategoryCode": "IE",
                "registrationStatusName": "Termination Requested",
                "regulatorCode": "CBOE C2",
                "firmCrdNumber": 3000005,
                "firmName": "RICHY TRADING CO.",
                "statusEffectiveDate": "2021-04-14"
            },
            {
                "regulatorName": "Cboe C2 Exchange, Inc.",
                "registrationStatusCode": "CE_INACTIVE",
                "registrationCategoryName": "International - Limited Registration",
                "registrationCategoryCode": "IE",
                "registrationStatusName": "Inactive - Continuing Education",
                "regulatorCode": "CBOE C2",
                "firmCrdNumber": 3000005,
                "firmName": "RICHY TRADING CO.",
                "statusEffectiveDate": "2020-03-14"
            },
            {
                "regulatorName": "Cboe C2 Exchange, Inc.",
                "registrationStatusCode": "TRANS_RQST",
                "registrationCategoryName": "International - Limited Registration",
                "registrationCategoryCode": "IE",
                "registrationStatusName": "Transition Requested",
                "regulatorCode": "CBOE C2",
                "firmCrdNumber": 3000005,
                "firmName": "RICHY TRADING CO.",
                "statusEffectiveDate": "2020-03-14"
            },
            {
                "regulatorName": "MEMX LLC",
                "registrationStatusCode": "IN_PF",
                "registrationCategoryName": "Securities Trader Compliance Officer",
                "registrationCategoryCode": "CT",
                "registrationStatusName": "In Process Filing",
                "regulatorCode": "MEMX",
                "firmCrdNumber": 3000005,
                "firmName": "RICHY TRADING CO.",
                "statusEffectiveDate": "2020-06-14"
            },
            {
                "regulatorName": "MEMX LLC",
                "registrationStatusCode": "FTR",
                "registrationCategoryName": "Securities Trader Compliance Officer",
                "registrationCategoryCode": "CT",
                "registrationStatusName": "Terminated Failure to Renew",
                "regulatorCode": "MEMX",
                "firmCrdNumber": 3000005,
                "firmName": "RICHY TRADING CO.",
                "statusEffectiveDate": "2020-05-14"
            },
            {
                "regulatorName": "MEMX LLC",
                "registrationStatusCode": "APPROVED",
                "registrationCategoryName": "Securities Trader Compliance Officer",
                "registrationCategoryCode": "CT",
                "registrationStatusName": "Approved",
                "regulatorCode": "MEMX",
                "firmCrdNumber": 3000005,
                "firmName": "RICHY TRADING CO.",
                "statusEffectiveDate": "2021-03-14"
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "Miami International Securities Exchange, LLC",
                "registrationStatusCode": "T_NOREG_MT",
                "registrationCategoryName": "Canada-Limited Gen Sec Reg Rep",
                "registrationCategoryCode": "CD",
                "registrationStatusName": "Terminated no registration Mass Transfer",
                "regulatorCode": "MIAX OPTIONS",
                "firmCrdNumber": 3000005,
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-06-14"
            },
            {
                "regulatorName": "Miami International Securities Exchange, LLC",
                "registrationStatusCode": "TEMPREG",
                "registrationCategoryName": "Canada-Limited Gen Sec Reg Rep",
                "registrationCategoryCode": "CD",
                "registrationStatusName": "Temporary Registration",
                "regulatorCode": "MIAX OPTIONS",
                "firmCrdNumber": 3000005,
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2021-07-14"
            },
            {
                "regulatorName": "Miami International Securities Exchange, LLC",
                "registrationStatusCode": "TRANS_RQST",
                "registrationCategoryName": "Canada-Limited Gen Sec Reg Rep",
                "registrationCategoryCode": "CD",
                "registrationStatusName": "Transition Requested",
                "regulatorCode": "MIAX OPTIONS",
                "firmCrdNumber": 3000005,
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2021-03-14"
            },
            {
                "regulatorName": "Miami International Securities Exchange, LLC",
                "registrationStatusCode": "BAR",
                "registrationCategoryName": "Canada-Limited Gen Sec Reg Rep",
                "registrationCategoryCode": "CD",
                "registrationStatusName": "Bar",
                "regulatorCode": "MIAX OPTIONS",
                "firmCrdNumber": 3000005,
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2022-05-14"
            },
            {
                "regulatorName": "Miami International Securities Exchange, LLC",
                "registrationStatusCode": "T_NOREG_FTR",
                "registrationCategoryName": "Canada-Limited Gen Sec Reg Rep",
                "registrationCategoryCode": "CD",
                "registrationStatusName": "Terminated no registration Renewals",
                "regulatorCode": "MIAX OPTIONS",
                "firmCrdNumber": 3000005,
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2021-11-14"
            },
            {
                "regulatorName": "Miami International Securities Exchange, LLC",
                "registrationStatusCode": "TRANS_ERROR",
                "registrationCategoryName": "Canada-Limited Gen Sec Reg Rep",
                "registrationCategoryCode": "CD",
                "registrationStatusName": "Not Transitioned - Filed In Error",
                "regulatorCode": "MIAX OPTIONS",
                "firmCrdNumber": 3000005,
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-02-14"
            },
            {
                "regulatorName": "Miami International Securities Exchange, LLC",
                "registrationStatusCode": "CE_INACTIVE",
                "registrationCategoryName": "Canada-Limited Gen Sec Reg Rep",
                "registrationCategoryCode": "CD",
                "registrationStatusName": "Inactive - Continuing Education",
                "regulatorCode": "MIAX OPTIONS",
                "firmCrdNumber": 3000005,
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2021-10-14"
            },
            {
                "regulatorName": "Miami International Securities Exchange, LLC",
                "registrationStatusCode": "APPRNT",
                "registrationCategoryName": "Canada-Limited Gen Sec Reg Rep",
                "registrationCategoryCode": "CD",
                "registrationStatusName": "Approved Pending Prints",
                "regulatorCode": "MIAX OPTIONS",
                "firmCrdNumber": 3000005,
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2021-11-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_ERROR",
                "registrationCategoryName": "Securities Lending Representative",
                "registrationCategoryCode": "LE",
                "registrationStatusName": "Not Transitioned - Filed In Error",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-03-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TEMPREG",
                "registrationCategoryName": "Securities Lending Representative",
                "registrationCategoryCode": "LE",
                "registrationStatusName": "Temporary Registration",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-11-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "registrationCategoryName": "Securities Lending Representative",
                "registrationCategoryCode": "LE",
                "registrationStatusName": "Inactive - Prints",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2021-12-14"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "PURGED",
                "registrationCategoryName": "Securities Lending Representative",
                "registrationCategoryCode": "LE",
                "registrationStatusName": "Purged",
                "regulatorCode": "NYSE-AMER",
                "firmCrdNumber": 3000005,
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "statusEffectiveDate": "2020-05-14"
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE Chicago, Inc.",
                "registrationStatusCode": "SUSPENSION",
                "registrationCategoryName": "Financial and Operations Principal",
                "registrationCategoryCode": "FN",
                "registrationStatusName": "Suspended",
                "regulatorCode": "NYSE-CHI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2020-09-14"
            },
            {
                "regulatorName": "NYSE Chicago, Inc.",
                "registrationStatusCode": "TRANS_ERROR",
                "registrationCategoryName": "Financial and Operations Principal",
                "registrationCategoryCode": "FN",
                "registrationStatusName": "Not Transitioned - Filed In Error",
                "regulatorCode": "NYSE-CHI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2021-09-14"
            },
            {
                "regulatorName": "NYSE Chicago, Inc.",
                "registrationStatusCode": "TEMP_WD",
                "registrationCategoryName": "Financial and Operations Principal",
                "registrationCategoryCode": "FN",
                "registrationStatusName": "Temporary Withdrawal",
                "regulatorCode": "NYSE-CHI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2021-10-14"
            },
            {
                "regulatorName": "NYSE Chicago, Inc.",
                "registrationStatusCode": "TEMPREG",
                "registrationCategoryName": "Financial and Operations Principal",
                "registrationCategoryCode": "FN",
                "registrationStatusName": "Temporary Registration",
                "regulatorCode": "NYSE-CHI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2021-07-14"
            },
            {
                "regulatorName": "NYSE Chicago, Inc.",
                "registrationStatusCode": "ADMTERM",
                "registrationCategoryName": "Financial and Operations Principal",
                "registrationCategoryCode": "FN",
                "registrationStatusName": "Administrative Termination",
                "regulatorCode": "NYSE-CHI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2021-05-14"
            },
            {
                "regulatorName": "NYSE Chicago, Inc.",
                "registrationStatusCode": "TEMPREG",
                "registrationCategoryName": "Financial and Operations Principal",
                "registrationCategoryCode": "FN",
                "registrationStatusName": "Temporary Registration",
                "regulatorCode": "NYSE-CHI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2021-04-14"
            },
            {
                "regulatorName": "Hawaii",
                "registrationStatusCode": "MASS_TRNSF",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Termed Mass Transfer",
                "regulatorCode": "HI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2020-08-14"
            },
            {
                "regulatorName": "Hawaii",
                "registrationStatusCode": "T_NOREG_MT",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Terminated no registration Mass Transfer",
                "regulatorCode": "HI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2021-04-14"
            },
            {
                "regulatorName": "Hawaii",
                "registrationStatusCode": "MASS_TRNSF",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Termed Mass Transfer",
                "regulatorCode": "HI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2020-02-14"
            },
            {
                "regulatorName": "Hawaii",
                "registrationStatusCode": "TRANS_ERROR",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Not Transitioned - Filed In Error",
                "regulatorCode": "HI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2021-06-14"
            },
            {
                "regulatorName": "Hawaii",
                "registrationStatusCode": "TEMP_WD",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Temporary Withdrawal",
                "regulatorCode": "HI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2021-08-14"
            },
            {
                "regulatorName": "Hawaii",
                "registrationStatusCode": "TEMP_WD",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Temporary Withdrawal",
                "regulatorCode": "HI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2020-07-14"
            },
            {
                "regulatorName": "Hawaii",
                "registrationStatusCode": "DEFICIENT",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Deficient",
                "regulatorCode": "HI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2021-01-14"
            },
            {
                "regulatorName": "Hawaii",
                "registrationStatusCode": "REJECTED",
                "registrationCategoryName": "Investment Advisor Representative",
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Rejected",
                "regulatorCode": "HI",
                "firmCrdNumber": 3000005,
                "firmName": "GUT SECURITIES CORPORATION",
                "statusEffectiveDate": "2020-02-14"
            }
        ],
        "individualCrdNumber": 10000
    }
]

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

Sample Request

https://api.finra.org/data/group/firm/name/registeredIndividualRegistrationStatusHistoryMock

Sample Request Payload

{
"liimit":2,
"fields":["registrationStatusHistory.regulatorName","registrationStatusHistory.registrationStatusCode",
"registrationStatusHistory.firmName"],
"compareFilters": [ 
{"compareType": "equal", "fieldName": "registrationStatusHistory.registrationCategoryCode", "fieldValue":"LE" }
]
}

Sample Response

[
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_ERROR",
                "firmName": "ANNISSA INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TEMPREG",
                "firmName": "ANNISSA INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "firmName": "ANNISSA INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "PURGED",
                "firmName": "ANNISSA INSURANCE SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOMT",
                "firmName": "HUMBLE CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REVOKED",
                "firmName": "HUMBLE CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "CE2_YEAR_TRMD",
                "firmName": "HUMBLE CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "SUSPENSION",
                "firmName": "HUMBLE CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REQUEST_TERM",
                "firmName": "HUMBLE CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REQUAL",
                "firmName": "HUMBLE CAPITAL SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REJECTED",
                "firmName": "NORMY SECURITIES CORP."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOU5",
                "firmName": "NORMY SECURITIES CORP."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPROVED",
                "firmName": "MAIGA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMPREG",
                "firmName": "MAIGA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "ABANDONED",
                "firmName": "MAIGA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMP_WD",
                "firmName": "MAIGA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REVOKED",
                "firmName": "MAIGA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOU5",
                "firmName": "MAIGA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "IN_PF",
                "firmName": "MAIGA TAX PLANNERS, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "ADMTERM",
                "firmName": "KARTIS CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PENDING",
                "firmName": "KARTIS CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_RQST",
                "firmName": "KARTIS CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "ADMTERM",
                "firmName": "KARTIS CAPITAL SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REQUEST_TERM",
                "firmName": "REISER ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REQUAL",
                "firmName": "REISER ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "MASS_TRNSF",
                "firmName": "REISER ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "FTR",
                "firmName": "REISER ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "FTR",
                "firmName": "REISER ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REVOKED",
                "firmName": "REISER ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG_MT",
                "firmName": "REISER ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "SUSPENSION",
                "firmName": "REISER ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "CE_INACTIVE",
                "firmName": "REISER ENTERPRISES, LLC"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "IN_PF",
                "firmName": "ROCHUS CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOMT",
                "firmName": "ROCHUS CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REVOKED",
                "firmName": "ROCHUS CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPROVED",
                "firmName": "ROCHUS CAPITAL SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMPREG",
                "firmName": "ROMITO ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "ADMTERM",
                "firmName": "ROMITO ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PENDING",
                "firmName": "ROMITO ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_RQST",
                "firmName": "ROMITO ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "ABANDONED",
                "firmName": "ROMITO ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "BAR",
                "firmName": "ROMITO ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG_MT",
                "firmName": "ROMITO ENTERPRISES, LLC"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG",
                "firmName": "DOMENECH CAPITAL SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUAL",
                "firmName": "KOVAR SECURITIES CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG_MT",
                "firmName": "SACKS CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOU5",
                "firmName": "SACKS CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "DEFICIENT",
                "firmName": "SACKS CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "MASS_TRNSF",
                "firmName": "SACKS CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUEST_TERM",
                "firmName": "SACKS CAPITAL CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMPREG",
                "firmName": "GREER SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PENDING",
                "firmName": "GREER SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG",
                "firmName": "GREER SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG_MT",
                "firmName": "GREER SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_TERM",
                "firmName": "GREER SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PENDING",
                "firmName": "GREER SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REQUAL",
                "firmName": "GREER SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PURGED",
                "firmName": "GREER SECURITIES, INCORPORATED"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPROVED",
                "firmName": "PONCE TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_TERM",
                "firmName": "PONCE TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TEMP_WD",
                "firmName": "PONCE TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "PENDING",
                "firmName": "PONCE TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_ERROR",
                "firmName": "PONCE TAX PLANNERS, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "BAR",
                "firmName": "BAALBEER SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG_FTR",
                "firmName": "BAALBEER SECURITIES, INCORPORATED"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "CE2_YEAR_TRMD",
                "firmName": "JANUARY CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG",
                "firmName": "JANUARY CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "IN_PF",
                "firmName": "JANUARY CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMPREG",
                "firmName": "JANUARY CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REQUAL",
                "firmName": "JANUARY CAPITAL CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG",
                "firmName": "CLERE CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "DEFICIENT",
                "firmName": "CLERE CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ABANDONED",
                "firmName": "CLERE CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUEST_TERM",
                "firmName": "CLERE CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TEMPREG",
                "firmName": "CLERE CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "CE_INACTIVE",
                "firmName": "CLERE CAPITAL CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "DEFICIENT",
                "firmName": "HERM TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOMT",
                "firmName": "HERM TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG",
                "firmName": "HERM TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "SUSPENSION",
                "firmName": "HERM TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG_MT",
                "firmName": "HERM TRADING CO."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOMTNOREG",
                "firmName": "MCMULLAN SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REVOKED",
                "firmName": "MCMULLAN SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOMTNOREG",
                "firmName": "MCMULLAN SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPROVED_RES",
                "firmName": "MCMULLAN SECURITIES LLC"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "firmName": "MATELDA SECURITIES CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "IN_PF",
                "firmName": "FIDELAS CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOMT",
                "firmName": "FIDELAS CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPRNT",
                "firmName": "FIDELAS CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "MASS_TRNSF",
                "firmName": "FIDELAS CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPRNT",
                "firmName": "FIDELAS CAPITAL CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPROVED",
                "firmName": "ELYN TAX PLANNERS, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPROVED",
                "firmName": "ADELLA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_ERROR",
                "firmName": "ADELLA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APRSLTS",
                "firmName": "ADELLA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PENDING",
                "firmName": "ADELLA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_RQST",
                "firmName": "ADELLA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REJECTED",
                "firmName": "ADELLA TAX PLANNERS, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOU5",
                "firmName": "SHLOMO SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPROVED_RES",
                "firmName": "SHLOMO SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "IN_PF",
                "firmName": "SHLOMO SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "SUSPENSION",
                "firmName": "SHLOMO SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "FTR",
                "firmName": "SHLOMO SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ABANDONED",
                "firmName": "SHLOMO SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "PURGED",
                "firmName": "SHLOMO SECURITIES CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG",
                "firmName": "JONNY CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPRNT",
                "firmName": "JONNY CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "DEFICIENT",
                "firmName": "JONNY CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REJECTED",
                "firmName": "JONNY CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG_FTR",
                "firmName": "JONNY CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "IN_PF",
                "firmName": "JONNY CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APRSLTS",
                "firmName": "JONNY CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "IN_PF",
                "firmName": "JONNY CAPITAL SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "CE2_YEAR_TRMD",
                "firmName": "MYRNA CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ABANDONED",
                "firmName": "MYRNA CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "DEFICIENT",
                "firmName": "MYRNA CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "FTR",
                "firmName": "MYRNA CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REVOKED",
                "firmName": "MYRNA CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TEMP_WD",
                "firmName": "MYRNA CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "MASS_TRNSF",
                "firmName": "MYRNA CAPITAL CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUEST_TERM",
                "firmName": "MYRNA CAPITAL CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "CE_INACTIVE",
                "firmName": "POIRER SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "DENIED",
                "firmName": "POIRER SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "MASS_TRNSF",
                "firmName": "POIRER SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG_FTR",
                "firmName": "POIRER SECURITIES, INCORPORATED"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPRNT",
                "firmName": "BRITTENY TRADING CO."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_TERM",
                "firmName": "BRITTENY TRADING CO."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOU5",
                "firmName": "JANN ENTERPRISES, LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "BAR",
                "firmName": "JANN ENTERPRISES, LLC"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "DEFICIENT",
                "firmName": "CUTHBERT SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "firmName": "CUTHBERT SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "BAR",
                "firmName": "CUTHBERT SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "FTR",
                "firmName": "CUTHBERT SECURITIES CORP."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REJECTED",
                "firmName": "SCULLEY SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPRNT",
                "firmName": "SCULLEY SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "BAR",
                "firmName": "SCULLEY SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG_FTR",
                "firmName": "SCULLEY SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APRSLTS",
                "firmName": "SCULLEY SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG_FTR",
                "firmName": "SCULLEY SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "IN_PF",
                "firmName": "SCULLEY SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "SUSPENSION",
                "firmName": "SCULLEY SECURITIES CORP."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "firmName": "GUINEVERE SECURITIES CORP."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "DEFICIENT",
                "firmName": "GUINEVERE SECURITIES CORP."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REVOKED",
                "firmName": "GUINEVERE SECURITIES CORP."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "CE2_YEAR_TRMD",
                "firmName": "GUINEVERE SECURITIES CORP."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "PURGED",
                "firmName": "GUINEVERE SECURITIES CORP."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUEST_TERM",
                "firmName": "GUINEVERE SECURITIES CORP."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "DENIED",
                "firmName": "ERRICK SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "firmName": "ERRICK SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOU5",
                "firmName": "ERRICK SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "BAR",
                "firmName": "ERRICK SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMPREG",
                "firmName": "ERRICK SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "BAR",
                "firmName": "ERRICK SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPROVED",
                "firmName": "ERRICK SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REQUEST_TERM",
                "firmName": "ERRICK SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMPREG",
                "firmName": "ERRICK SECURITIES, INCORPORATED"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOMT",
                "firmName": "CHERIDA CAPITAL SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG_MT",
                "firmName": "PETITE TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "DEFICIENT",
                "firmName": "PETITE TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ADMTERM",
                "firmName": "PETITE TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOMTNOREG",
                "firmName": "PETITE TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_ERROR",
                "firmName": "PETITE TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "BAR",
                "firmName": "PETITE TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "SUSPENSION",
                "firmName": "PETITE TAX PLANNERS, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "firmName": "METTAH INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "FTR",
                "firmName": "METTAH INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUEST_TERM",
                "firmName": "METTAH INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPRNT",
                "firmName": "METTAH INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG_FTR",
                "firmName": "METTAH INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_TERM",
                "firmName": "METTAH INSURANCE SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "CE_INACTIVE",
                "firmName": "EAVES SECURITIES CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REQUEST_TERM",
                "firmName": "EAVES SECURITIES CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_RQST",
                "firmName": "EAVES SECURITIES CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "ABANDONED",
                "firmName": "EAVES SECURITIES CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "MASS_TRNSF",
                "firmName": "EAVES SECURITIES CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "ADMTERM",
                "firmName": "EAVES SECURITIES CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PENDING",
                "firmName": "EAVES SECURITIES CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "MASS_TRNSF",
                "firmName": "EAVES SECURITIES CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TERMED",
                "firmName": "EAVES SECURITIES CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ADMTERM",
                "firmName": "ARETTA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TEMPREG",
                "firmName": "ARETTA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG",
                "firmName": "ARETTA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "firmName": "ARETTA TAX PLANNERS, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APRSLTS",
                "firmName": "ARETTA TAX PLANNERS, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REJECTED",
                "firmName": "SIKES SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ABANDONED",
                "firmName": "SIKES SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REVOKED",
                "firmName": "SIKES SECURITIES CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG_MT",
                "firmName": "JOCELINE CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TEMPREG",
                "firmName": "JOCELINE CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ADMTERM",
                "firmName": "JOCELINE CAPITAL SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REJECTED",
                "firmName": "GATHARD ENTERPRISES, LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TEMP_WD",
                "firmName": "GATHARD ENTERPRISES, LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "CE_INACTIVE",
                "firmName": "GATHARD ENTERPRISES, LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "DENIED",
                "firmName": "GATHARD ENTERPRISES, LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_ERROR",
                "firmName": "GATHARD ENTERPRISES, LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPROVED_RES",
                "firmName": "GATHARD ENTERPRISES, LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG",
                "firmName": "GATHARD ENTERPRISES, LLC"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "DENIED",
                "firmName": "VASILIKI SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PURGED",
                "firmName": "VASILIKI SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "CE_INACTIVE",
                "firmName": "VASILIKI SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPRNT",
                "firmName": "VASILIKI SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOMTNOREG",
                "firmName": "VASILIKI SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PURGED",
                "firmName": "VASILIKI SECURITIES CORP."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REQUEST_TERM",
                "firmName": "VASILIKI SECURITIES CORP."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PENDING",
                "firmName": "GORDAN TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMPREG",
                "firmName": "GORDAN TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "MASS_TRNSF",
                "firmName": "GORDAN TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REQUEST_TERM",
                "firmName": "GORDAN TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "SUSPENSION",
                "firmName": "GORDAN TRADING CO."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_ERROR",
                "firmName": "JURKOIC SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG",
                "firmName": "JURKOIC SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_TERM",
                "firmName": "JURKOIC SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ADMTERM",
                "firmName": "JURKOIC SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOU5",
                "firmName": "JURKOIC SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPROVED_RES",
                "firmName": "JURKOIC SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOMT",
                "firmName": "JURKOIC SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "IN_PF",
                "firmName": "JURKOIC SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUAL",
                "firmName": "JURKOIC SECURITIES CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "MASS_TRNSF",
                "firmName": "PURDUM SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REJECTED",
                "firmName": "PURDUM SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TERMED",
                "firmName": "PURDUM SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_RQST",
                "firmName": "PURDUM SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_TERM",
                "firmName": "PURDUM SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOMTNOREG",
                "firmName": "PURDUM SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "CE2_YEAR_TRMD",
                "firmName": "PURDUM SECURITIES, INCORPORATED"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPROVED_RES",
                "firmName": "SHEPPARD TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOMT",
                "firmName": "SHEPPARD TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "firmName": "SHEPPARD TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "ABANDONED",
                "firmName": "SHEPPARD TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG",
                "firmName": "SHEPPARD TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PENDING",
                "firmName": "SHEPPARD TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "CE_INACTIVE",
                "firmName": "SHEPPARD TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "IN_PF",
                "firmName": "SHEPPARD TRADING CO."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "DEFICIENT",
                "firmName": "CORABEL SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPROVED_RES",
                "firmName": "CORABEL SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOMT",
                "firmName": "CORABEL SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPROVED",
                "firmName": "CORABEL SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_TERM",
                "firmName": "CORABEL SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMPREG",
                "firmName": "CORABEL SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMP_WD",
                "firmName": "CORABEL SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PENDING",
                "firmName": "CORABEL SECURITIES, INCORPORATED"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "ABANDONED",
                "firmName": "AMATI CAPITAL SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "PURGED",
                "firmName": "MUNRO SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "PENDING",
                "firmName": "MUNRO SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUEST_TERM",
                "firmName": "MUNRO SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "DEFICIENT",
                "firmName": "MUNRO SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOMTNOREG",
                "firmName": "MUNRO SECURITIES CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOMT",
                "firmName": "FRITZE INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_RQST",
                "firmName": "FRITZE INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "CE_INACTIVE",
                "firmName": "FRITZE INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "SUSPENSION",
                "firmName": "FRITZE INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPROVED_RES",
                "firmName": "FRITZE INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ADMTERM",
                "firmName": "FRITZE INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG_MT",
                "firmName": "FRITZE INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "DEFICIENT",
                "firmName": "FRITZE INSURANCE SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "CE2_YEAR_TRMD",
                "firmName": "YNES TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG",
                "firmName": "YNES TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "IN_PF",
                "firmName": "YNES TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPROVED",
                "firmName": "YNES TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "ADMTERM",
                "firmName": "YNES TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "BAR",
                "firmName": "YNES TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOMT",
                "firmName": "YNES TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOREG_FTR",
                "firmName": "YNES TRADING CO."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TERMED",
                "firmName": "BERNT CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "ADMTERM",
                "firmName": "BERNT CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOMT",
                "firmName": "BERNT CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "firmName": "BERNT CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "SUSPENSION",
                "firmName": "BERNT CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_TERM",
                "firmName": "BERNT CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PURGED",
                "firmName": "BERNT CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMPREG",
                "firmName": "BERNT CAPITAL CORPORATION"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "FTR",
                "firmName": "BERNT CAPITAL CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_TERM",
                "firmName": "EKATERINA CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPRNT",
                "firmName": "EKATERINA CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "BAR",
                "firmName": "EKATERINA CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TERMED",
                "firmName": "EKATERINA CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG_MT",
                "firmName": "EKATERINA CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOU5",
                "firmName": "EKATERINA CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REJECTED",
                "firmName": "EKATERINA CAPITAL SERVICES, INC."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_RQST",
                "firmName": "EKATERINA CAPITAL SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "ABANDONED",
                "firmName": "COOE ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOMT",
                "firmName": "COOE ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_TERM",
                "firmName": "COOE ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PENDING",
                "firmName": "COOE ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPROVED",
                "firmName": "COOE ENTERPRISES, LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APRSLTS",
                "firmName": "COOE ENTERPRISES, LLC"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "IN_PF",
                "firmName": "FLO TRADING CO."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPROVED",
                "firmName": "FLO TRADING CO."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "INACTIVE_PRINTS",
                "firmName": "FLO TRADING CO."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ADMTERM",
                "firmName": "ORSINO TRADING CO."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPROVED",
                "firmName": "ORSINO TRADING CO."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_RQST",
                "firmName": "ORSINO TRADING CO."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APRSLTS",
                "firmName": "ORSINO TRADING CO."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APRSLTS",
                "firmName": "ORSINO TRADING CO."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG",
                "firmName": "ORSINO TRADING CO."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOU5",
                "firmName": "ORSINO TRADING CO."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG_FTR",
                "firmName": "ORSINO TRADING CO."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "PENDING",
                "firmName": "ORSINO TRADING CO."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ADMTERM",
                "firmName": "NORTHEY CAPITAL CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APRSLTS",
                "firmName": "JULIANN SECURITIES LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPROVED_RES",
                "firmName": "JULIANN SECURITIES LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PENDING",
                "firmName": "JULIANN SECURITIES LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_TERM",
                "firmName": "JULIANN SECURITIES LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMP_WD",
                "firmName": "JULIANN SECURITIES LLC"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_TERM",
                "firmName": "JULIANN SECURITIES LLC"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APRSLTS",
                "firmName": "AVRIL SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_RQST",
                "firmName": "AVRIL SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOMT",
                "firmName": "AVRIL SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "CE_INACTIVE",
                "firmName": "AVRIL SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "FTR",
                "firmName": "AVRIL SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "IN_PF",
                "firmName": "AVRIL SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUAL",
                "firmName": "AVRIL SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOU5",
                "firmName": "AVRIL SECURITIES LLC"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "REQUAL",
                "firmName": "VAIENTINA SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOMTNOREG",
                "firmName": "VAIENTINA SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TEMPREG",
                "firmName": "VAIENTINA SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOMTNOREG",
                "firmName": "VAIENTINA SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TEMP_WD",
                "firmName": "VAIENTINA SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_RQST",
                "firmName": "VAIENTINA SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TEMPREG",
                "firmName": "VAIENTINA SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOREG",
                "firmName": "VAIENTINA SECURITIES CORPORATION"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPROVED_RES",
                "firmName": "VAIENTINA SECURITIES CORPORATION"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPROVED_RES",
                "firmName": "LEBAR SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "DEFICIENT",
                "firmName": "LEBAR SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TRANS_ERROR",
                "firmName": "LEBAR SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "PENDING",
                "firmName": "LEBAR SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REVOKED",
                "firmName": "LEBAR SECURITIES, INCORPORATED"
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "T_NOMTNOREG",
                "firmName": "LEBAR SECURITIES, INCORPORATED"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "MASS_TRNSF",
                "firmName": "JULEY ENTERPRISES, LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "DENIED",
                "firmName": "JULEY ENTERPRISES, LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "ADMTERM",
                "firmName": "JULEY ENTERPRISES, LLC"
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "MASS_TRNSF",
                "firmName": "WALTNER INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "FTR",
                "firmName": "WALTNER INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "MASS_TRNSF",
                "firmName": "WALTNER INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "DENIED",
                "firmName": "WALTNER INSURANCE SERVICES, INC."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "BAR",
                "firmName": "WALTNER INSURANCE SERVICES, INC."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "TEMPREG",
                "firmName": "LARIMORE TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APRSLTS",
                "firmName": "LARIMORE TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "APPRNT",
                "firmName": "LARIMORE TRADING CO."
            },
            {
                "regulatorName": "New York Stock Exchange",
                "registrationStatusCode": "REVOKED",
                "firmName": "LARIMORE TRADING CO."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "APPROVED_RES",
                "firmName": "GESSNER SECURITIES CORP."
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "CE_INACTIVE",
                "firmName": "GESSNER SECURITIES CORP."
            }
        ]
    },
    {
        "registrationStatusHistory": [
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TEMP_WD",
                "firmName": "HEINRICH SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_ERROR",
                "firmName": "HEINRICH SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "TRANS_ERROR",
                "firmName": "HEINRICH SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "DENIED",
                "firmName": "HEINRICH SECURITIES LLC"
            },
            {
                "regulatorName": "NYSE American LLC",
                "registrationStatusCode": "T_NOMT",
                "firmName": "HEINRICH SECURITIES LLC"
            }
        ]
    }
]

Details of all registrations held by a registered individual.

API Explorer (Playground)

TEST IT OUT

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualRegistrations	registeredIndividualRegistrationsMock

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

Sample Request

https://api.finra.org/data/group/firm/name/registeredIndividualRegistrationsMock?limit=5

Sample Response

[
    {
        "registrations": [
            {
                "registrationStatusCode": "T_NOREG_MT",
                "registrationCategoryName": "General Securities Principal",
                "filingDate": null,
                "registrationCategoryCode": "GP",
                "registrationStatusName": "Terminated no registration Mass Transfer",
                "firmCrdNumber": 3000005,
                "regulatorName": "Nasdaq Stock Market",
                "registrationBeginDate": "2020-10-14",
                "registrationEndDate": "2021-08-14",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2020-11-14",
                "regulatorCode": "NQX",
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "isApproved": "NO"
            },
            {
                "registrationStatusCode": "REQUEST_TERM",
                "registrationCategoryName": "Securities Trader Principal",
                "filingDate": null,
                "registrationCategoryCode": "TP",
                "registrationStatusName": "Termination Requested",
                "firmCrdNumber": 3000005,
                "regulatorName": "NYSE American LLC",
                "registrationBeginDate": "2020-10-14",
                "registrationEndDate": "2021-04-14",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2020-08-14",
                "regulatorCode": "NYSE-AMER",
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "isApproved": "YES"
            }
        ],
        "individualCrdNumber": 1
    },
    {
        "registrations": [
            {
                "registrationStatusCode": "TRANS_ERROR",
                "registrationCategoryName": "Trading Assistant",
                "filingDate": null,
                "registrationCategoryCode": "TA",
                "registrationStatusName": "Not Transitioned - Filed In Error",
                "firmCrdNumber": 3000005,
                "regulatorName": "NYSE American LLC",
                "registrationBeginDate": "2021-05-14",
                "registrationEndDate": "2022-05-14",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2021-12-14",
                "regulatorCode": "NYSE-AMER",
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "isApproved": "YES"
            },
            {
                "registrationStatusCode": "REJECTED",
                "registrationCategoryName": "Investment Co./Variable Contracts Prin",
                "filingDate": null,
                "registrationCategoryCode": "IP",
                "registrationStatusName": "Rejected",
                "firmCrdNumber": 3000005,
                "regulatorName": "Nasdaq Stock Market",
                "registrationBeginDate": "2020-04-14",
                "registrationEndDate": "2021-04-14",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2020-09-14",
                "regulatorCode": "NQX",
                "firmName": "MAC INSURANCE SERVICES, INC.",
                "isApproved": "YES"
            }
        ],
        "individualCrdNumber": 10
    },
    {
        "registrations": [
            {
                "registrationStatusCode": "PURGED",
                "registrationCategoryName": "International - Limited Registration",
                "filingDate": null,
                "registrationCategoryCode": "IE",
                "registrationStatusName": "Purged",
                "firmCrdNumber": 3000005,
                "regulatorName": "Cboe C2 Exchange, Inc.",
                "registrationBeginDate": "2020-06-14",
                "registrationEndDate": "2021-06-14",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2020-10-14",
                "regulatorCode": "CBOE C2",
                "firmName": "RICHY TRADING CO.",
                "isApproved": "YES"
            },
            {
                "registrationStatusCode": "TRANS_TERM",
                "registrationCategoryName": "Securities Trader Compliance Officer",
                "filingDate": null,
                "registrationCategoryCode": "CT",
                "registrationStatusName": "Transition Terminated",
                "firmCrdNumber": 3000005,
                "regulatorName": "MEMX LLC",
                "registrationBeginDate": "2019-12-14",
                "registrationEndDate": "2020-03-14",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2019-07-14",
                "regulatorCode": "MEMX",
                "firmName": "RICHY TRADING CO.",
                "isApproved": "YES"
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "registrations": [
            {
                "registrationStatusCode": "TEMP_WD",
                "registrationCategoryName": "Canada-Limited Gen Sec Reg Rep",
                "filingDate": null,
                "registrationCategoryCode": "CD",
                "registrationStatusName": "Temporary Withdrawal",
                "firmCrdNumber": 3000005,
                "regulatorName": "Miami International Securities Exchange, LLC",
                "registrationBeginDate": "2019-12-14",
                "registrationEndDate": "2020-03-14",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2019-07-14",
                "regulatorCode": "MIAX OPTIONS",
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "isApproved": "YES"
            },
            {
                "registrationStatusCode": "REJECTED",
                "registrationCategoryName": "Securities Lending Representative",
                "filingDate": null,
                "registrationCategoryCode": "LE",
                "registrationStatusName": "Rejected",
                "firmCrdNumber": 3000005,
                "regulatorName": "NYSE American LLC",
                "registrationBeginDate": "2020-07-14",
                "registrationEndDate": "2021-08-14",
                "registrationStatusTypeCode": "INACTIVE",
                "currentStatusDate": "2021-03-14",
                "regulatorCode": "NYSE-AMER",
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "isApproved": "NO"
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "registrationStatusCode": "TEMPREG",
                "registrationCategoryName": "Financial and Operations Principal",
                "filingDate": null,
                "registrationCategoryCode": "FN",
                "registrationStatusName": "Temporary Registration",
                "firmCrdNumber": 3000005,
                "regulatorName": "NYSE Chicago, Inc.",
                "registrationBeginDate": "2019-01-14",
                "registrationEndDate": "2019-12-14",
                "registrationStatusTypeCode": "ACTIVE",
                "currentStatusDate": "2019-05-14",
                "regulatorCode": "NYSE-CHI",
                "firmName": "GUT SECURITIES CORPORATION",
                "isApproved": "YES"
            },
            {
                "registrationStatusCode": "INACTIVE_PRINTS",
                "registrationCategoryName": "Investment Advisor Representative",
                "filingDate": null,
                "registrationCategoryCode": "RA",
                "registrationStatusName": "Inactive - Prints",
                "firmCrdNumber": 3000005,
                "regulatorName": "Hawaii",
                "registrationBeginDate": "2020-08-14",
                "registrationEndDate": "2021-10-14",
                "registrationStatusTypeCode": "ACTIVE",
                "currentStatusDate": "2021-02-14",
                "regulatorCode": "HI",
                "firmName": "GUT SECURITIES CORPORATION",
                "isApproved": "YES"
            }
        ],
        "individualCrdNumber": 10000
    }
]

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

Sample Request

https://api.finra.org/data/group/firm/name/registeredIndividualRegistrationsMock

Sample Request Payload

{
	"limit":5,
	"compareFilters": [ 
		{"compareType": "equal", "fieldName":"registrations.isApproved","fieldValue":"NO" }
	]
	
}

Sample Response

[
    {
        "registrations": [
            {
                "registrationStatusCode": "T_NOREG_MT",
                "registrationCategoryName": "General Securities Principal",
                "filingDate": null,
                "registrationCategoryCode": "GP",
                "registrationStatusName": "Terminated no registration Mass Transfer",
                "firmCrdNumber": "3000005",
                "regulatorName": "Nasdaq Stock Market",
                "registrationBeginDate": "2020-10-14",
                "registrationStatusTypeCode": "INACTIVE",
                "registrationEndDate": "2021-08-14",
                "currentStatusDate": "2020-11-14",
                "regulatorCode": "NQX",
                "firmName": "VIRGILIO CAPITAL SERVICES, INC.",
                "isApproved": "NO"
            }
        ],
        "individualCrdNumber": 1
    },
    {
        "registrations": [
            {
                "registrationStatusCode": "REJECTED",
                "registrationCategoryName": "Securities Lending Representative",
                "filingDate": null,
                "registrationCategoryCode": "LE",
                "registrationStatusName": "Rejected",
                "firmCrdNumber": "3000005",
                "regulatorName": "NYSE American LLC",
                "registrationBeginDate": "2020-07-14",
                "registrationStatusTypeCode": "INACTIVE",
                "registrationEndDate": "2021-08-14",
                "currentStatusDate": "2021-03-14",
                "regulatorCode": "NYSE-AMER",
                "firmName": "ANNISSA INSURANCE SERVICES, INC.",
                "isApproved": "NO"
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "registrationStatusCode": "T_NOREG",
                "registrationCategoryName": "Financial and Operations Principal",
                "filingDate": null,
                "registrationCategoryCode": "FN",
                "registrationStatusName": "Termed Without Registration",
                "firmCrdNumber": "3000005",
                "regulatorName": "MIAX Emerald, LLC",
                "registrationBeginDate": "2020-05-14",
                "registrationStatusTypeCode": "INACTIVE",
                "registrationEndDate": "2020-10-14",
                "currentStatusDate": "2020-03-14",
                "regulatorCode": "MIAX EMERALD",
                "firmName": "ERAS ENTERPRISES, LLC",
                "isApproved": "NO"
            }
        ],
        "individualCrdNumber": 1008
    },
    {
        "registrations": [
            {
                "registrationStatusCode": "TERMED",
                "registrationCategoryName": "Municipal Securities Principal",
                "filingDate": null,
                "registrationCategoryCode": "MP",
                "registrationStatusName": "Termed",
                "firmCrdNumber": "3000005",
                "regulatorName": "NYSE American LLC",
                "registrationBeginDate": "2021-02-14",
                "registrationStatusTypeCode": "INACTIVE",
                "registrationEndDate": "2021-05-14",
                "currentStatusDate": "2020-12-14",
                "regulatorCode": "NYSE-AMER",
                "firmName": "LUCHO CAPITAL SERVICES, INC.",
                "isApproved": "NO"
            }
        ],
        "individualCrdNumber": 1012
    },
    {
        "registrations": [
            {
                "registrationStatusCode": "IN_PF",
                "registrationCategoryName": "Municipal Fund",
                "filingDate": null,
                "registrationCategoryCode": "FP",
                "registrationStatusName": "In Process Filing",
                "firmCrdNumber": "3000005",
                "regulatorName": "FINRA",
                "registrationBeginDate": "2019-12-14",
                "registrationStatusTypeCode": "INACTIVE",
                "registrationEndDate": "2020-03-14",
                "currentStatusDate": "2019-09-14",
                "regulatorCode": "FINRA",
                "firmName": "ORLAND CAPITAL CORPORATION",
                "isApproved": "NO"
            }
        ],
        "individualCrdNumber": 1013
    }
]

Home address information for registered individuals.

API Credential Types

Firm

Quicklinks

Metadata

Dataset Info:

group	dataset	test dataset
firm	registeredIndividualResidentialLocations	registeredIndividualResidentialLocationsMock

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

Sample Request

https://api.finra.org/data/group/firm/name/registeredIndividualResidentialLocationsMock?limit=5

Sample Response

[
    {
        "registrations": [
            {
                "regulatorCode": "NQX"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "residentialLocations": [
            {
                "addressEndDate": "2006-08-14",
                "cityName": "Scottsdale",
                "stateName": "South Carolina",
                "countryCode": "USA",
                "postalCode": "70116",
                "addressLine1": "5754 Wraight",
                "addressLine2": null,
                "stateCode": "SC",
                "addressStartDate": "2021-07-14",
                "countryName": "United States of America"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-AMER"
            },
            {
                "regulatorCode": "NQX"
            }
        ],
        "residentialLocations": [
            {
                "addressEndDate": "2003-12-14",
                "cityName": "Baltimore",
                "stateName": "Connecticut",
                "countryCode": "USA",
                "postalCode": "70018",
                "addressLine1": "8291 May Elm",
                "addressLine2": null,
                "stateCode": "CT",
                "addressStartDate": "2021-07-14",
                "countryName": "United States of America"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10
    },
    {
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "residentialLocations": [
            {
                "addressEndDate": "1995-10-14",
                "cityName": "Grand Rapids",
                "stateName": "Wyoming",
                "countryCode": "USA",
                "postalCode": "46499",
                "addressLine1": "1906 Rancom",
                "addressLine2": "APT 1729",
                "stateCode": "WY",
                "addressStartDate": "2021-07-14",
                "countryName": "United States of America"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "residentialLocations": [
            {
                "addressEndDate": "1992-04-14",
                "cityName": "Apple Valley",
                "stateName": "West Virginia",
                "countryCode": "USA",
                "postalCode": "67089",
                "addressLine1": "3668 Student",
                "addressLine2": null,
                "stateCode": "WV",
                "addressStartDate": "2021-07-14",
                "countryName": "United States of America"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "residentialLocations": [
            {
                "addressEndDate": "1996-05-14",
                "cityName": "Oceanside",
                "stateName": "California",
                "countryCode": "USA",
                "postalCode": "61715",
                "addressLine1": "3642 Siegel",
                "addressLine2": null,
                "stateCode": "CA",
                "addressStartDate": "2021-07-14",
                "countryName": "United States of America"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            },
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10000
    }
]

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

Sample Request

https://api.finra.org/data/group/firm/name/registeredIndividualResidentialLocationsMock

Sample Request Payload

{
	"limit":3,
	"fields":["registrations.regulatorCode","residentialLocations.addressEndDate",
"residentialLocations.addressStartDate","residentialLocations.stateCode","employments.firmCrdNumber","individualCrdNumber"],
	"compareFilters": [ 
		{"compareType": "greater", "fieldName": "individualCrdNumber", "fieldValue":10 }
	]
	
}

Sample Response

[
    {
        "registrations": [
            {
                "regulatorCode": "CBOE C2"
            },
            {
                "regulatorCode": "MEMX"
            }
        ],
        "residentialLocations": [
            {
                "addressEndDate": "1995-10-14",
                "stateCode": "WY",
                "addressStartDate": "2021-07-14"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 100
    },
    {
        "registrations": [
            {
                "regulatorCode": "MIAX OPTIONS"
            },
            {
                "regulatorCode": "NYSE-AMER"
            }
        ],
        "residentialLocations": [
            {
                "addressEndDate": "1992-04-14",
                "stateCode": "WV",
                "addressStartDate": "2021-07-14"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 1000
    },
    {
        "registrations": [
            {
                "regulatorCode": "NYSE-CHI"
            },
            {
                "regulatorCode": "HI"
            }
        ],
        "residentialLocations": [
            {
                "addressEndDate": "1996-05-14",
                "stateCode": "CA",
                "addressStartDate": "2021-07-14"
            }
        ],
        "employments": [
            {
                "firmCrdNumber": 3000005
            },
            {
                "firmCrdNumber": 3000005
            }
        ],
        "individualCrdNumber": 10000
    }
]

The API platform utilizes event type and action as part of the Notification API to deliver a variety of FINRA notifications. Group & event type are required parameters to call the endpoint and action is returned as a part of the response. The notification endpoint utilizes following structure.

/notifications/group/{group}/event-type/{event-type}

You can explore documentation for available event types in each category of Notification API from the navigation menu on the left.

Notification requests are synchronous by default and provide response only in JSON.

Since notifications are returned between a start and end date, you can chain by using previous endDate as startDate in subsequent request.

Example: when notifications were retrieved between September 1 and September 2 then next notifications next time you want to pull can start from September 2 onwards.

Date times are in EST
When both startDateTime and endDateTime are not provided, only notifications published within the last one month are returned
When startDateTime is provided and no endDateTime is provided, notifications published from startDateTime to currentDateTime are returned
When startDateTime is not provided and endDateTime is provided, notifications published within last 12 months to endDateTime are returned
Notifications are returned from last 12 months only.
When date filters are provided which are past 12 months, API returns return 200 with no results
Invalid format will return 400

Returns the notifications for the specified event type in JSON format.

GET notifications/group/{group}/event-type/{event-type}

Request Parameters

parameter	description	required/optional	data type	format	example
group	group of the notification	required	string	string	finra
event-type	event-type of the notification	required	string	string	finrarulebook
startDateTime	Start Date & Time of date range between which the notification was published.	optional	string	yyyy-MM-ddTHH:mm:ss.SSS	2022-07-01T07:03:02.123
endDateTime	End Date & Time of date range between which the notification was published.	optional	string	yyyy-MM-ddTHH:mm:ss.SSS	2022-07-01T07:03:02.123
limit	Number of records to return. NOTE: See the Platform Usage Limits page for more details.	optional	integer	integer	5
offset	Record number to start with (inclusive) Default: 0	optional	integer	integer	2

Request Headers

header	required/optional	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).	application/json

Sample

Request

https://api.finra.org/notifications/group/finra/event-type/finrarulebook?startDateTime=2022-06-30T12:00:33.33&endDateTime=2022-07-01T00:00:00.00

Response

[
  {
    "notificationId": "7ffec52a-dd0d-49e3-9a1d-b6ef708719fb",            
    "eventType": "FINRA Rulebook",
    "eventDateTime": "2022-06-30T13:55:31.820",
    "details": {
      "ruleNumber": "1210",
      "action": "updated"
    }
  },
  {
    "notificationId": "77afd924-6cde-11ed-a1eb-0242ac120002",
    "eventDateTime": "2022-06-30T13:57:31.820",
    "eventType": "FINRA Rulebook",
    "details": {
      "ruleNumber": "1211",
      "action": "updated"
    }
  } 
]

FINRA Rulebook Notification allows you to stay notified of the changes to the content in the FINRA Rulebook dataset .

API Credential Types

Firm

Organization

Event Type Info:

group	event-type
finra	finrarulebook

Event Type Details

Based on the action provided in details section of the Notification API response (see the sample api call below), you can determine if a call to Query API's FINRA Rulebook dataset is needed. Following actions will be provided in a FINRA Rulebook notification event:

created : Indicates a new rule has been created
updated: Indicates a rule has been updated
deleted: Indicates a rule has been deleted

GET /notifications/group/{group}/event-type/{event-type}

Sample Request

https://api.finra.org/notifications/group/finra/event-type/finrarulebook

Sample Response

[
  {
    "notificationId": "7ffec52a-dd0d-49e3-9a1d-b6ef708719fb",            
    "eventType": "FINRA Rulebook",
    "eventDateTime": "2022-06-30T13:55:31.820",
    "details": {
      "ruleNumber": "1210",
      "action": "updated"
    }
  },
  {
    "notificationId": "77afd924-6cde-11ed-a1eb-0242ac120002",
    "eventDateTime": "2022-06-30T13:57:31.820",
    "eventType": "FINRA Rulebook",
    "details": {
      "ruleNumber": "1211",
      "action": "updated"
    }
  } 
]

The Submission API allows third-party systems to submit filings and other data to FINRA and follows REST semantics to create and/or update submission requests. It uses POST requests to create a submission and PUT/PATCH requests to update existing submissions.

The API platform utilizes submission types as part of Submission API to allow a variety of submission and filings. Submission type is defined by the combination of group & name which are required parameters to call the endpoint. The submission endpoint utilizes the following structures:

v1/submissions/filings/{group}/{name}

v1/submissions/filings/{group}/{name}/{id}

You can explore documentation for available submission types in each category of Submission API from the navigation menu on the left.

Depending upon the submission type, submission requests will be processed either synchronously or asynchronously. In synchronous mode, submissions will return a status response immediately. Asynchronous submissions will be processed in the background and updates can be retrieved utilizing GET Operation.

Depending upon the submission type, the Submission API supports both the submission of a complete filing or a partial update to an existing filing.
1. For example for a partial update, when filing a U4 Amendment, API users can opt to just send changes to an existing U4 filing utilizing a POST operation. The platform will apply the changes to the existing data and create a U4 amendment.
Each submission type has a specific schema that must be adhered to (filingData).

While doing a partial update to an existing filing, the "path" is relative to the schema of the particular submission type.

Key	Type	Required	Description
op	string	yes	Used to specify a particular action in JSON operation ( add, replace, or remove). Refer to the Example values for op below for additional details.
path	string	yes	A JSON path definition that specifies the location or traversal route within a JSON document. It is based on the standard specifications (https://www.rfc-editor.org/rfc/rfc6901) Exception: We follow json pointer syntax for everything except collections, where we support an additional syntax to represent collections uniquely instead of relying on the index location. Refer to the Example values for path below to see possible values
value	string	yes	can be object, primitive value etc.

Example values for "op"

Value	Description
add	add new value.
replace	replace value at the given path with the value
remove	remove the value at the given path

Example values for "path"

Sample JSON and the table below that demonstrate how paths can select items from the JSON.

Sample

{
  "individualInformation": {
    "personalInformation": {
      "individualFilingName": {
        "middleName": null,
        "lastName": "lexicon"
      }
    },
    "residentialHistory": [
      {
        "id": "5f2df182-f6d0-4504-9e18-38a8c7268b77",
        "addressStartDate": "2022-01"
      },
      {
        "id": "c970abd7-37d2-4c7e-b695-b8cb7a0b5817",
        "addressStartDate": "2022-01"
      }
    ]
  }
}

Path	Description
/individualInformation/personalInformation	selects "personalInformation"
/individualInformation/residentialHistory/[id:5f2df182-f6d0-4504-9e18-38a8c7268b77]	select object matching the id with value. *note syntax is [<identifier>:<value>] identifier is the key in the collection and value to identify uniquely.

Sample Partial Update

Based on the table above, this is a how sample json body of a partial update would look like

Sample

{
    "filing":{
        "metadata": {
            "filingStatus": "draft",
        },
        "operations":[
            {
                "op": "add",
                "path": "/individualInformation/personalInformation",
                "value":  {
                    "firstName": "John",
                    "lastName": "Smith"
                }
            },
            {
                "op": "remove",
                "path": "/individualInformation/residentialHistory/[id:c970abd7-37d2-4c7e-b695-b8cb7a0b5817]"
            }
        ]
    }
}

The overall Submission API flow is

When a submission request is created with "filingStatus" as "draft", a request is created in FINRA system and ID is returned and with the ID firms can come back and patch the request.
When a submission request is created with "filingStatus" as "submitted"
- For synchronous submissions, FINRA will process it immediately and return the processing status provided there are no validation errors, in case of validation errors "filingStatus" will be set to DRAFT. GET Submission will provide errors related to the submission.
- For asynchronous submissions, FINRA will create a request and process offline, as long as request is a valid json and required metadata is provided.
  - A POST call is used to initiate an asynchronous submission. Unless the metadata fail a validation check, this POST call essentially returns an id one can use to track this submission. This response doesn't include any information on the processing of the submission itself.
  - One or more GET calls with the tracking id can be made to inquire the status of the submission.
When a submission request is created with "filingStatus" as "validate", a draft submission is created and a completeness check is triggered for the form. To confirm completeness, GET Submission can be used to determine if the submission is successful.
For submissions in DRAFT status, users can PATCH/PUT submission as many times as they want.
Firms can change the filingStatus as SUBMITTED via PATCH/PUT call and FINRA will start processing the request according to the submission type.

POST, PUT and PATCH requests include a request body. GET request omit a request body.

Request Body

parameter	required	description	example	default
filing	yes	filing object. See below for details	json object	n/a

Filing

parameter

required

description

example

default

metadata (refer to the Metadata Type below)

yes

metadata for the given submission request

json object

n/a

filingData (refer to the Filing Data Type below)

Optional. Either filingData or operations is required for POST, PUT and PATCH request

filingData for the given submission request

json object

n/a

operations

optional

required with PATCH request

optional with POST request

json object

n/a

Request Metadata

parameter	required	description	allowed values	default
filingStatus	yes	filing status of the request	draft: Creates a draft submission and allows users to update submissions using PUT or PATCH calls. validate: Creates a draft submission and triggers completeness check for the form. submitted: Submits the form to FINRA for processing	n/a
filingtype	yes	filing type of the request	Refer to metadata for each submission type for allowed values	n/a

Response Parameters

parameter	description	example	default
id	unique id for the submission request that can be used in GET request	uuid format	n/a
group	filing group	registration
name	submission name	u4, create-individual
filing (refer to the Response Metadata below)	filing object	json object	n/a

Response Metadata

parameter	description	example	default
filingId	unique Id for submission that can be used in FINRA Gateway. The filingId will only be available once the FINRA processes the submission request.	string format	n/a
submissionStatus	submission status of the request	Allowed values: draft, submitted	n/a
resultStatus	result status of the request	Possible values: PROCESSING, PROCESSED, FAILED_VALIDATION, FAILED	n/a
resultStatusDesc	Contains error messages and warnings when applicable	object format	n/a
submitted	Date and timestamp when submission is submitted. Only returned in Response when submissionStatus is "submitted"	User Details (refer to User Details Type below)	n/a
created	Date and timestamp when submission is created	User Details (refer to User Details Type below)	n/a
updated	Date and timestamp when submission is updated	User Details (refer to User Details Type below)	n/a
<key name>	In addition to these metadata fields, specific metadata for each submission type (if available) could also be provided through this parameter.	refer to specific metadata provided in U4	n/a

User Details Type

parameter	description	example	default
by	api client id of the user who submitted the request	2bd71800671b414e9703	n/a
on	timestamp of submission	2022-11-16T17:35:47Z	n/a

Filing Data type

Parameter	Description	Example	Default
<key name>	keys according to json schema for submission type		n/a

Submission Warning

Warning messages are provided when sensitive data are found in a few designated free text field(s) .

If there are warnings for the filing, the submission will fail with resultStatus = “FAILED_VALIDATION” and resultStatusDesc.warnings array will include warnings in the response to a corresponding GET Submission API call.
Sensitive data include SSN, DOB, Account Number, Credit Card and Health Information. The complete list of fields that will be checked for sensitive data can be found on the schema by looking for the “warnOn” attribute. We recommend using the local schema files to look for the impacted fields.
If the identified sensitive data provided are relevant for the submission, users have an ability to bypass the warning. Setting ignoreWarnings = true in the POST Submission metadata will bypass the warning(s). The default value for ignoreWarnings is false. If ignoreWarnings = true is provided, then an empty warnings array will be returned in the GET Submission API call, even if sensitive data are found in some of the fields.
Impacted Submission Types
- U4 and U5
Regex for the PII keys:

PII Type Key	Regex	Case Sensitive
SSN	(\\d{3}(\\s\|\\.\|-\|_)?\\d{2}(\\s\|\\.\|-\|_)?\\d{4})	Yes
SSN_AVOID_HYPHEN_NOTATION	(\\d{3}(\\s\|\\.\|_)?\\d{2}(\\s\|\\.\|_)?\\d{4})	Yes
DATE_OF_BIRTH	(((DOB)\|(BIRTH ON)\|(BIRTH IS)\|(D.O.B.)\|(D.O.B)\|(BIRTH)\|(BIRTH,)\|(DATE OF BIRTH))\\s(\\(?(\\d\|\\d{2})/(\\d\|\\d{2})/(\\d{4}\|\\d{2})\\)?))	Yes
ACCOUNT_NUMBER_AVOID_ZIP	((#\|A/C\|ACCOUNT\|ACCT\|ANNUITY\|CONTRACT\|LIFE\|LOAN #\|LOAN NO.\|LOAN NUMBER\|POLICIES\|POLICY\|VA)\\D*(?	Yes
CREDIT_CARD_NUMBER	(((4\|6)\\d\|(5(1\|2\|3\|4\|5)))\\d{2}(\\s\|.\|-\|_)\\d{4}(\\s\|.\|-\|_)\\d{4}(\\s\|.\|-\|_)\\d{4})	Yes
CREDIT_CARD_NUMBER_AMEX	((34\|37)\\d{2}(\\s\|.\|-\|_)\\d{6}(\\s\|.\|-\|_)\\d{5}	Yes
HEALTH_INFO	(\\b(trauma\|thyroid\|thrombosis\|syphilis\|sinus\|shingles\|sepsis\|sclera\|sarcoma\|rhinitis\|renal\|pathology\| pancreatic\|pancreas\|obesity\|neurone\|myositis\|meningitis\|lyme\|kidney\|influenza\|hypo\|hypertension\|hyper\| hepatitis\|hemophilia\|gitis\|gastrointestinal\|gallbladder\|flu\|diagnos\|congenital\|chronic\|bronchitis\|brain\| arthriti\|amyotrophic lateral\|allergy\|WILM\|Tumor\|Tuberculosis\|Stroke\|Seizure\|SWINE\|SIDS\|SCHIZOPHRENIA\| SARS\|Respiratory\|Pulmonary\|Pneumonia\|PTSD\|PSORIASIS\|PROSTATE\|POX\|PARKINSON\|PALSY\|PACEMAKER\|OTOMY\|OSTOMY\| OSTEOPOROSIS\|OSCOPY\|OPLASTY\|Neuropathy\|Muscular Dystrophy\|Multiple Sclerosis\|MERS\|MELANOMA\|Lymphoma\| Lymph node\|Lupus\|Liver\|Leukemia\|LARYNX\|JAUNDICE\|INFLAMMATION\|Hernia\|Hemorrhage\|HODGKIN\|HIV\|HEART\|H1N1\| GOUT\|GLAUCOMA\|Fracture\|Fibromyalgia\|FEVER\|Epilepsy\|Encephalitis\|ENDO\|ECTOMY\|Diabetic\|Diabetes\|Depression\| Dementia\|DYSFUNCTION\|DOWN SYNDROME\|DEGENERATION\|Coronary\|Congenital\|Cardio\|Cardiac\|CROHN\|COVID\|CORONA\| COMA\|COLORECTAL\|COLON\|CATARACT\|CANCER\|Bulim(ia\|i)\|Bipolar\|Bi-Polar\|BREAST\|BLADDER\|Autoimmune\|Auti(sm\|s)\| Attention Deficit\|Atrial fibrillation\|Asthma\|Arthrit(is\|i)\|Appendix\|Appendicitis\|Appendectomy\|Anxiety\| Anorex(ia\|i)\|Aneurysm\|ATOSIS\|ARRHYTHMIA\|APNEA\|AORTA\|ALZHEIMER\|ADHD\|AIDS\|ALS)\\b)	Yes
HEALTH_INFO_AVOID_REDACTED	((?<!\\[REDACTED].{0,2000})(\\b(Disease\|Infection\|MENTAL\|PSYCHIATRIC\|SURGERY\|Syndrome)\\b)(?!.*\\[REDACTED]))	Yes

Returns the details of a previous submission request using a "id" returned in POST submission response

GET v1/submissions/filings/{group}/{name}/{id}

Optional Request Parameters

None.

Request Headers

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

Sample

Request

https://api.finra.org/v1/submissions/filings/{group}/{name}/{id}

Response

{
  "id": "ae4820ce-7897-4d26-a5b7-163a571e9337",
  "group": "registration",
  "name": "u4"
  "filing": {
    "metadata": {
      "filingStatus": "submitted",
      "created": {
        "on": "2022-11-16T17:35:47Z",
        "by": "2bd71800671b414e9703"       
      },
      "updated": {
        "on": "2022-11-16T17:35:47Z",
        "by": "2bd71800671b414e9703"
       },
      "submitted": {
        "on": "2022-11-16T17:35:47Z",
        "by": "2bd71800671b414e9703"
      }
    },
    "filingData": {
        ... json data in format of provided json schema
    }
  }
}

Submit a filing using filingData (full submission) or using operations (partial update).

POST v1/submissions/filings/{group}/{name}

Optional Request Parameters

Refer to request parameters in API Request and Response Parameters.

Request Headers

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

Sample

Request

https://api.finra.org/v1/submissions/filings/registration/{name}

1. Creating with filingData

Request Payload 1

{
  "filing": {
    "metadata": {
      "filingStatus": "submitted"
    },
    "filingData": {
      "firstName": "Oscar",
      "lastName": "Johnston",
      "dateOfBirth": "1971-08-08",
      "ssn": "123-45-3333"
    }
  }
}

2. Creating by just providing delta to the info that FINRA already has

Request Payload 2

{
  "filing":{
    "metadata": {
        "filingStatus": "draft",
        "individualCrdNumber": 23234,
        "filingType": "amendment",
       "dateOfBirth": "2001/05/15"
    },
    "operations": [
    {
      "op": "replace",
      "path": "individualInformation/personalInformation/individualName/lastName",
      "value": "adam"
    }
  ]
   }
}

Response

{
  "id": "b85e5fc0-763b-11ed-a1eb-0242ac120002",
  "group": "registration",
  "name": "u4",
  "filing": {
    "metadata": {
        "individualCrdNumber": 23234,
        "filingStatus": "draft",      
        "filingType": "amendment",
           "dateOfBirth": "2001/05/15"
        },    
        "created": {
            "on": "2022-11-16T17:35:47Z",
            "by": "2bd71800671b414e9703"
        },
        "updated": {
            "on": "2022-11-16T17:35:47Z",
            "by": "2bd71800671b414e9703"
        }
    },
    "operations": [{
      "op": "replace",
      "path": "individualInformation/personalInformation/individualName/lastName",
      "value": "adam"
        }]  
    }
}

Update an existing submission

PUT /v1/submissions/filings/{group}/{name}/{id}

Optional Request Parameters

Refer to request parameters in API Request and Response Parameters.

Request Headers

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

Sample

Request

https://api.finra.org/v1/submissions/filings/{group}/{name}/{id}

Request Payload

{
  "filing": {
    "metadata": {
      "filingStatus": "submitted",
      ... metadata specific to submission group and name
    },
    "filingData": {
     .... json data specific to provided json schema
    }
  }
}

Response

Update an existing request using filingData

PATCH /v1/submissions/filings/{group}/{name}/{id}

Optional Request Parameters

parameter	description	example	default
Operations	JSON patch operations type	`"operations": [` `{` `"op": "replace",` `"path": "individualInformation/personalInformation/individualName/lastName",` `"value": "jones"` `}` `]`

Request Headers

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

Sample

Request

https://api.finra.org/v1/submissions/filings/{group}/{name}/{id}

Request Payload

{
    "filing":{
        "metadata": {
            "filingStatus": "submitted"
         
              }            
        },
        "operations": [{            
            "op": "replace",
            "path": "individualInformation/personalInformation/individualName/lastName",
            "value": "adam"        
        }]
    
}

Response

BR submission type is for submitting BR filing. Form BR establishes registration of a branch office with FINRA, the New York Stock Exchange (NYSE) and states that require branch registration.

API Credential Types

Firm

Quicklinks

BR Schema

Submission Type Info:

group	name
registration	BR

Submission Type Details

BR submission (metadata, filingData and operations) must adhere to the BR schema
Composite Branch dataset has all the information CRD system has on the firm's branch which firms can use to pre-fill BR form for filing.
If both filingData and operations are provided in a single call, operations will be ignored.
BR submission is an asynchronous request. Check for status update with the GET Submission API using unique "ID" received during submission. Please allow 5-15 mins processing time for each BR submission before making a GET call.
BR filing can be made in a draft, submitted or validate mode.
U4 Metadata includes

key

required

value

default

filingType

yes

Permitted values:

INITIAL
AMENDMENT
CLOSURE
WITHDRAW
CLOSUREWITHDRAW

n/a

filingStatus

yes

Permitted values:

draft
submitted
validate

n/a

POST v1/submissions/filings/{group}/{name} - Validate Request before submission

Sample Request

https://api.finra.org/v1/submissions/filings/registration/br

Sample Request Payload

 {
            "filing": {
                "metadata": {
                    "branchId": 8011179,
                    "filingStatus": "validate",
                    "filingType": "amendment"
                },
                "filingData": {
                    "firm": {
                        "address": {
                            "country": {
                                "name": "UNITED STATES"
                            },
                            "city": "SAN DIEGO",
                            "postalCode": "90017-2457",
                            "stateCode": "CA",
                            "line2": "ATTN: COMPLIANCE",
                            "line1": "111 MAIN ST"
                        },
                        "crdNumber": 87711,
                        "name": "MICRO FINANCE INC."
                    },
                    "acknowledgementConsent": {
                        "signatureDate": "2024-01-29",
                        "signature": "John Smith",
                        "contact": {
                            "phoneNumber": "123-123-1234",
                            "name": "Test",
                            "title": "Test"
                        }
                    },
                    "branch": {
                        "financialActivity": {
                            "codes": [
                                "INVESTMENTBANKUNDERWRITING"
                            ]
                        },
                        "registrations": [
                            {
                                "regulatorIdentifier": 1,
                                "id": "70b3ba0e-6649-4479-8cf1-0e40f6ee7057"
                            },
                            {
                                "regulatorIdentifier": 50006,
                                "id": "45e2022d-5c9a-422c-a459-333d9d676382"
                            },
                            {
                                "regulatorIdentifier": 50009,
                                "id": "950176a6-b87c-409a-9620-fd332f4390e7"
                            }
                        ],
                        "records": {
                            "hasOtherRecordLocations": false
                        },
                        "identifyingInformation": {
                            "phoneNumber": "123-123-1234",
                            "faxNumber": "123-123-1234",
                            "branchCrdNumber": 8057479,
                            "isOfficeOfSupervisoryJurisdiction": true,
                            "businessTypeCode": [
                                "BROKERDEALER"
                            ]
                        },
                        "otherBusiness": {
                            "hasNames": false,
                            "hasActivities": false,
                            "hasWebsites": false
                        },
                        "location": {
                            "address": {
                                "country": {
                                    "code": "USA"
                                },
                                "city": "Test",
                                "postalCode": "35004",
                                "stateCode": "AL",
                                "line1": "123 Test"
                            },
                            "isPrivateResidence": false
                        },
                        "individuals": {
                            "supervisors": [
                                {
                                    "name": {
                                        "firstName": "MARY",
                                        "lastName": "ANNE",
                                        "middleName": "ALLAN",
                                        "suffix": "SR"
                                    },
                                    "id": "0ed1c506-8134-47b0-8be1-f2d65521091c",
                                    "individualCrdNumber": 59980
                                }
                            ]
                        },
                        "arrangements": {
                            "hasSharedSpaceWithOtherFirms": false,
                            "hasContracts": false,
                            "hasPrimaryResponsibilityAssociatedIndividuals": false,
                            "hasExpensesOrFinancialInterest": false
                        }
                    }
                }
            }
        }

Sample GET Response Payload when completeness check passes

 {
      "filing": {
        "metadata": {
          "resultStatus": "PROCESSING",
          "branchId": 8011179,
          "filingStatus": "draft",
          "filingId": "82103044",
          "filingType": "AMENDMENT",
          "resultStatusDesc": {
            "message": "Completeness check successfully",
            "errors": []
          },
          "created": {
            "on": "2024-03-08T17:02:13Z",
            "by": "c54b260f9b044b03bdc1"
          },
          "updated": {
            "on": "2024-03-08T17:05:33Z",
            "by": "c54b260f9b044b03bdc1"
          }
        },
        "filingData": {//filingData}
      },
      "group": "registration",
      "name": "br",
      "id": "e80f130c-752b-426b-8ef4-abab2f5d67f8"
    }

POST v1/submissions/filings/{group}/{name} - Initial

Sample Request

https://api.finra.org/v1/submissions/filings/registration/br

Sample Request Payload

  {
          "filing": {
            "metadata": {
              "filingType": "initial",
              "filingStatus": "submitted"
            },
            "filingData": {
              "firm": {
                "address": {
                  "country": {
                    "name": "UNITED STATES"
                  },
                  "city": "Goldsmith",
                  "postalCode": "90017-2457",
                  "stateCode": "CA",
                  "line1": "123 Main St"
                },
                "crdNumber": 877999,
                "name": "MICRO ECO INC."
              },
              "acknowledgementConsent": {
                "signatureDate": "2024-01-29",
                "signature": "Test",
                "contact": {
                  "phoneNumber": "123-123-1234",
                  "name": "Test",
                  "title": "Test"
                }
              },
              "branch": {
                "financialActivity": {
                  "codes": [
                    "INVESTMENTBANKUNDERWRITING"
                  ]
                },
                "registrations": [
                  {
                    "regulatorIdentifier": 1
                  },
                  {
                    "regulatorIdentifier": 50006
                  },
                  {
                    "regulatorIdentifier": 50009
                  }
                ],
                "records": {
                  "hasOtherRecordLocations": false
                },
                "identifyingInformation": {
                  "phoneNumber": "123-123-1234",
                  "faxNumber": "123-123-1234",
                  "businessTypeCode": [
                    "BROKERDEALER"
                  ],
                  "isOfficeOfSupervisoryJurisdiction": true
                },
                "otherBusiness": {
                  "hasNames": false,
                  "hasActivities": false,
                  "hasWebsites": false
                },
                "location": {
                  "address": {
                    "country": {
                      "code": "USA"
                    },
                    "city": "Test",
                    "postalCode": "35004",
                    "stateCode": "AL",
                    "line1": "123 Test"
                  },
                  "isPrivateResidence": false
                },
                "individuals": {
                  "supervisors": [
                    {
                      "name": {
                        "firstName": "ANNE",
                        "lastName": "COOVER",
                        "middleName": "ALLAN",
                        "suffix": "SR"
                      },
                      "individualCrdNumber": 58880
                    }
                  ]
                },
                "arrangements": {
                  "hasSharedSpaceWithOtherFirms": false,
                  "hasContracts": false,
                  "hasPrimaryResponsibilityAssociatedIndividuals": false,
                  "hasExpensesOrFinancialInterest": false
                }
              }
            }
          }
        }

Sample Response

  {
          "filing": {
            "metadata": {
              "resultStatus": "PROCESSED",
              "branchId": 8057418,
              "filingStatus": "SUBMITTED",
              "filingId": "82102567",
              "filingType": "INITIAL",
              "resultStatusDesc": {
                "message": "Filing processed successfully",
                "errors": []
              },
              "created": {
                "on": "2024-03-07T20:19:22Z",
                "by": "c54b260f9b044b03bdc1"
              },
              "updated": {
                "on": "2024-03-07T20:33:32Z",
                "by": "c54b260f9b044b03bdc1"
              },
              "submitted": {
                "on": "2024-03-07T20:33:32Z",
                "by": "c54b260f9b044b03bdc1"
              }
            },
            "filingData": {}
          },
          "group": "registration",
          "name": "br",
          "id": "a8d5e20f-64ee-4137-95bd-bdab143e01f0"
        }

POST v1/submissions/filings/{group}/{name} - Closure with filingData

Sample Request

https://api.finra.org/v1/submissions/filings/registration/br

Sample Request Payload

  {
  "filing": {
    "metadata": {
      "filingType": "closure",
      "filingStatus": "submitted",
      "branchId": 441189
    },
    "filingData": {
      "firm": {
        "address": {
          "country": {
            "name": "UNITED STATES"
          },
          "city": "LOS ANGELES",
          "postalCode": "90017-2457",
          "stateCode": "CA",
          "line1": "PO BOX 1111"
        },
        "crdNumber": 877,
        "name": "WEDBUSH SECURITIES INC."
      },
      "acknowledgementConsent": {
        "signatureDate": "2024-02-08",
        "signature": "Test Signatory",
        "contact": {
          "phoneNumber": "111-222-3333",
          "name": "Test Contact",
          "title": "Test Contact Title"
        }
      },
      "branch": {
        "records": {
          "recordLocations": [
            {
              "address": {
                "country": {
                  "code": "USA"
                },
                "city": "Test City",
                "postalCode": "35004",
                "stateCode": "AL",
                "line1": "Test B&R Street 1"
              },
              "contact": {
                "firstName": "Test First Name",
                "lastName": "Test Last Name",
                "emailAddress": "[email protected]",
                "phoneNumber": "123-123-1234"
              },
              "id": "cede801e-a8cc-411a-92f4-f0880b7b5b00"
            }
          ]
        },
        "identifyingInformation": {
          "phoneNumber": "123-123-1234",
          "faxNumber": "123-123-1234",
          "branchCrdNumber": 441389,
          "isOfficeOfSupervisoryJurisdiction": true,
          "businessTypeCode": [
            "BROKERDEALER"
          ]
        },
        "location": {
          "address": {
            "country": {
              "code": "USA"
            },
            "city": "Test",
            "postalCode": "35004",
            "stateCode": "AL",
            "line1": "123 Test"
          },
          "isPrivateResidence": false
        },
        "close": {
          "date": "2024-02-09"
        }
      }
    }
  }
}

POST v1/submissions/filings/{group}/{name} - Closure with Operation

Sample Request

https://api.finra.org/v1/submissions/filings/registration/br

Sample Request Payload

 {
    "filing": {
        "metadata": {
            "branchId": 354941,
            "filingStatus": "submitted",
            "filingType": "closure"
        },
        "operations": [
            {
                "op": "add",
                "path": "/branch/close",
                "value": {
                    "date": "2025-03-01"
                }
            },
            {
                "op": "add",
                "path": "/branch/records/recordLocations/-",
                "value": {
                    "address": {
                        "line1": "100 Washington Avenue",
                        "city": "Johnsburg",
                        "country": {
                            "code": "USA",
                            "name": "USA"
                        },
                        "stateCode": "CA",
                        "postalCode": 90210
                    },
                    "contact": {
                        "firstName": "John",
                        "lastName": "Smith",
                        "phoneNumber": "111-222-3333",
                        "emailAddress": "[email protected]"
                    }
                }
            },
            {
                "op": "add",
                "path": "/acknowledgementConsent",
                "value": {
                    "contact": {
                        "phoneNumber": "111-222-3333",
                        "name": "Test Contact Name",
                        "title": "Test Contact Title"
                    },
                    "signature": "Test Signatory",
                    "signatureDate": "2023-01-01"
                }
            }
        ]
    }
}

POST v1/submissions/filings/{group}/{name} - Amendment

Sample Request

https://api.finra.org/v1/submissions/filings/registration/br

Sample Request Payload

  {
   "filing": {
      "metadata": {
         "branchId": 8055442,
         "filingStatus": "submitted",
         "filingType": "AMENDMENT"
      },
      "operations": [
         {
            "op": "replace",
            "path": "/firm/address/city",
            "value": "GLENDALE"
         },
         {
            "op": "add",
            "path": "/acknowledgementConsent",
            "value": {
               "contact": {
                  "phoneNumber": "111-222-3333",
                  "name": "Test Contact Name",
                  "title": "Test Contact Title"
               },
               "signature": "Test Signatory",
               "signatureDate": "2023-01-01"
            }
         }
      ]
   }
}

POST v1/submissions/filings/{group}/{name} - Withdraw

Sample Request

https://api.finra.org/v1/submissions/filings/registration/br

Sample Request Payload

  {
   "filing":{
      "metadata":{
         "filingType":"withdraw",
         "filingStatus":"submitted",
         "branchId":8064610
      },
      "filingData":{
         "firm":{
            "address":{
               "city":"CLEVELAND",
               "postalCode":"44114",
               "stateCode":"OH",
               "line2":"15TH FLOOR",
               "line1":"1301 EAST NINTH STREET"
            },
            "crdNumber":149109,
            "name":"NORTHCOAST RESEARCH PARTNERS, LLC"
         },
         "acknowledgementConsent":{
            "signatureDate":"2024-09-11",
            "signature":"Test Signatory",
            "contact":{
               "phoneNumber":"444-444-4444",
               "name":"Test Test",
               "title":"Test Title"
            }
         },
         "branch":{
            "identifyingInformation":{
               "phoneNumber":"444-444-4444",
               "branchCrdNumber":8064610,
               "isOfficeOfSupervisoryJurisdiction":true,
               "businessTypeCode":[
                  "BROKERDEALER"
               ]
            },
            "location":{
               "address":{
                  "country":{
                     "code":"USA"
                  },
                  "city":"Test City",
                  "postalCode":"05001",
                  "stateCode":"VT",
                  "line1":"123 Test"
               },
               "isPrivateResidence":false
            },
            "withdraw":{
               "date":"2024-09-11",
               "reasonText":"Test reason",
               "contact":{
                  "firstName":"First",
                  "lastName":"Last",
                  "phoneNumber":"444-444-4444"
               }
            }
         }
      }
   }
}

The Create Individual submission type is used to create an initial registration record for an individual that includes the generation of a CRD number.

API Credential Types

Firm

Submission Type Info:

group	name
registration	create-individual

Submission Type Details

The create individual request returns a new CRD number as a synchronous response to the request.Full registration data has to be provided for this submission type and the registration data must adhere to the following structure: https://schemas.api.finra.org/FINRAAPIPlatformCreateIndividual.json
The "filingStatus" for Create Individual must always be "submitted". Draft submissions are not accepted for Create Individual.

POST /v1/submissions/filings/{group}/{name}

Sample Request

https://api.finra.org/v1/submissions/filings/registration/create-individual

Sample Request Payload

{
  "filing": {
    "metadata": {
      "filingStatus": "submitted"
    },
    "filingData": {
      "firstName": "Oscar",
      "lastName": "Johnston",
      "dateOfBirth": "1971-08-08",
      "ssn": "123-45-3333"
    }
  }
}

Sample Response

{
  "id": "ae4820ce-7897-4d26-a5b7-163a571e9337",
  "group": "registration",
  "name": "create-individual",
  "filing": {
    "metadata": {
      "filingStatus": "submitted",
      "individualCrdNumber": 80036831,
      "created": {
        "on": "2022-11-16T17:35:47Z",
        "by": "2bd71800671b414e9703",
        "source": "external"
      },
      "submitted": {
        "on": "2022-11-16T17:35:47Z",
        "by": "2bd71800671b414e9703",
        "source": "external"
      }
    },
    "filingData": {
      "firstName": "Oscar",
      "lastName": "Johnston",
      "dateOfBirth": "1971-08-08",
      "ssn": "123-45-3333"
    }
  }
}

GET /v1/submissions/filings/{group}/{name}/{id}

The current state of the submission is returned in the response from the system.

Sample Request

https://api.finra.org/v1/submissions/filings/registration/create-individual/ae4820ce-7897-4d26-a5b7-163a571e9337

Sample Response

{
  "id": "ae4820ce-7897-4d26-a5b7-163a571e9337"
  "group": "registration",
  "name": "create-individual",
  "filing": {
    "metadata": {
      "filingStatus": "submitted",
      "individualCrdNumber": 80036831,
      "created": {
        "on": "2022-11-16T17:35:47Z",
        "by": "2bd71800671b414e9703",
        "source": "external"
      },
      "submitted": {
        "on": "2022-11-16T17:35:47Z",
        "by": "2bd71800671b414e9703",
        "source": "external"
      }
    },
    "filingData": {
      "firstName": "Oscar",
      "lastName": "Johnston",
      "dateOfBirth": "1971-08-08",
      "ssn": "123-45-3333"
    }
  }
}

NRF submission type is for submitting Non Registered Fingerprint information to FINRA.

API Credential Types

Firm

Quicklinks

NRF Schema

Submission Type Info:

group	name
registration	nrf

Submission Type Details

NRF submission (metadata and filingData) must adhere to the NRF schema .
NRF submission does not support operation function. filingData must be sent even for amendments. filingData can also have just the delta changes for amendments.
Composite Individual dataset can be used as a reference to submit NRF amendments.
NRF submission is an asynchronous request. Check for status update with the GET Submission API using unique "ID" received during submission. Please allow 5-15 mins processing time for each NRF submission before making a GET call.
If an NRF is filed for a new individual without an Individual CRD Number, a new Individual CRD Number is automatically created and is returned in the GET Submission API call.
NRF Metadata includes

key

required

value

individualCrdNumber

CRD number of the individual if it exists. The value is required if the individual already has individualCRDNumber.

filingType

yes

Permitted values:

INITIAL
AMENDMENT

filingStatus

yes

Permitted value:

submitted

POST v1/submissions/filings/{group}/{name} - Initial

Sample Request

https://api.finra.org/v1/submissions/filings/registration/nrf

POST Sample Request Payload

 {
  "filing": {
    "metadata": {
      "filingType": "INITIAL",
      "individualCrdNumber": 80077843,
      "filingStatus": "submitted"
    },
    "filingData": {
      "biometrics": {
        "eyeColorCode": "BLK",
        "genderCode": "M",
        "hairColorCode": "BLN",
        "heightFootQuantity": 6,
        "heightInchQuantity": 2,
        "weight": 80
      },
      "filingFirmAssociation": {
        "startDate": "09/26/2023",
        "title": "Mr",
        "location": {
          "address": {
            "addressLine1": "test_street1",
            "addressLine2": "test_street2",
            "cityName": "Anchorage",
            "countryCode": "USA",
            "postalCode": "20878",
            "stateCode": "AK"
          }
        },
        "fingerPrint": {
          "reassociateFPC": false
        },
        "firmBillingCode": "8"
      },
      "ssn": "847-76-0737",
      "dateOfBirth": "01/01/2000",
      "name": {
        "firstName": "test_fn",
        "lastName": "test_ln",
        "middleName": "test_mn",
        "suffix": "Mr"
      },
      "stateOfBirth": "AK",
      "countryOfBirth": "USA"
 
    }
  }
}

POST v1/submissions/filings/{group}/{name} - Amendment

Sample Request

https://api.finra.org/v1/submissions/filings/registration/nrf

POST Sample Request Payload

{
    "filing": {
        "metadata": {
            "filingType": "AMENDMENT",
            "individualCrdNumber": 80077843,
            "filingStatus": "submitted"
        },
        "filingData": {
            "biometrics": {
                "eyeColorCode": "BLK",
                "genderCode": "M",
                "hairColorCode": "BLN",
                "heightFootQuantity": 6,
                "heightInchQuantity": 2,
                "weight": 80
            },
            "filingFirmAssociation": {
                "startDate": "09/26/2023",
                "title": "Mr",
                "location": {
                    "address": {
                        "addressLine1": "test_street1",
                        "addressLine2": "test_street2",
                        "cityName": "Anchorage",
                        "countryCode": "USA",
                        "postalCode": "20878",
                        "stateCode": "AK"
                    }
                },
                "fingerPrint": {
                    "reassociateFPC": false
                },
                "firmBillingCode": "8"
            },
            "ssn": "847-76-0737",
            "dateOfBirth": "01/01/2000",
            "name": {
                "firstName": "test_fn",
                "lastName": "test_ln",
                "middleName": "test_mn",
                "suffix": "Mr"
            },
            "stateOfBirth": "AK",
            "countryOfBirth": "USA"
        }
    }
}

POST v1/submissions/filings/{group}/{name} - Terminate an individual by indicating endDate

Sample Request

https://api.finra.org/v1/submissions/filings/registration/nrf

POST Sample Request Payload

{
    "filing": {
        "metadata": {
            "filingType": "AMENDMENT",
            "individualCrdNumber": 80077843,
            "filingStatus": "submitted"
        },
        "filingData": {
            "biometrics": {
                "eyeColorCode": "BLK",
                "genderCode": "M",
                "hairColorCode": "BLN",
                "heightFootQuantity": 6,
                "heightInchQuantity": 2,
                "weight": 90
            },
            "filingFirmAssociation": {
                "startDate": "09/26/2023",
                "endDate": "09/30/2024",
                "title": "Mr",
                "location": {
                    "address": {
                        "addressLine1": "test_street1",
                        "addressLine2": "test_street2",
                        "cityName": "Anchorage",
                        "countryCode": "USA",
                        "postalCode": "20878",
                        "stateCode": "AK"
                    }
                },
                "fingerPrint": {
                    "reassociateFPC": false
                },
                "firmBillingCode": "8"
            },
            "ssn": "847-76-0737",
            "dateOfBirth": "01/01/2000",
            "name": {
                "firstName": "test_fn",
                "lastName": "test_ln",
                "middleName": "test_mn",
                "suffix": "Mr"
            },
            "stateOfBirth": "AK",
            "countryOfBirth": "USA"
        }
    }
}

POST v1/submissions/filings/{group}/{name} - Initial when IndividualCrdNumber does not already exist

Sample Request

https://api.finra.org/v1/submissions/filings/registration/nrf

POST Sample Request Payload

{
    "filing": {
        "metadata": {
            "filingType": "INITIAL",
            "filingStatus": "submitted"
        },
        "filingData": {
            "biometrics": {
                "eyeColorCode": "BLK",
                "genderCode": "M",
                "hairColorCode": "BLN",
                "heightFootQuantity": 6,
                "heightInchQuantity": 2,
                "weight": 80
            },
            "filingFirmAssociation": {
                "startDate": "09/26/2023",
                "title": "Mr",
                "location": {
                    "address": {
                        "addressLine1": "test_street1",
                        "addressLine2": "test_street2",
                        "cityName": "Anchorage",
                        "countryCode": "USA",
                        "postalCode": "20878",
                        "stateCode": "AK"
                    }
                },
                "fingerPrint": {
                    "reassociateFPC": false
                },
                "firmBillingCode": "8"
            },
            "ssn": "<UNUSED_SSN>",
            "dateOfBirth": "01/01/2000",
            "name": {
                "firstName": "test_fn",
                "lastName": "test_ln",
                "middleName": "test_mn",
                "suffix": "Mr"
            },
            "stateOfBirth": "AK",
            "countryOfBirth": "USA"
        }
    }
}

GET Sample Request Payload with Individual CRD Number included

{
    "filing": {
        "metadata": {
            "individualCrdNumber": <NEW_CRD_NUM>,
            "filingType": "INITIAL",
            "filingStatus": "submitted",
            "resultStatus": "PROCESSED",
            "filingId": "<filingId>",
            "resultStatusDesc": {
                "message": "successfully processed",
                "errors": []
            },
            "created": {
                "on": "<CREATE_DATE>",
                "by": "<API_USER>"
            },
            "updated": {
                "on": "<UPDATE_DATE>",
                "by": "<API_USER>"
            },
            "submitted": {
                "on": "<SUBMIT_DATE>",
                "by": "<API_USER>"
            }
        },
        "filingData": {}
    },
    "group": "registration",
    "name": "nrf",
    "id": "<UUID>"
}

U4 submission type is for submitting U4 filing. Form U4 establishes registration of representatives of broker-dealers, investment advisers with appropriate jurisdictions and/or SROs.

API Credential Types

Firm

Quicklinks

U4 Schema

U4 Schema Files

Submission API Error Responses and Workarounds

U4 GET Submission Response Schema

Submission Type Info:

group	name
registration	u4

Submission Type Details

There are two ways of filing a U4 amendment (demonstrated in sample API calls below)
1. By submitting the full U4 with changes
2. By submitting with just the instructions
Individual Pre-Registration Search v2 dataset has all the information CRD system has on the individual which firms can use to pre-fill U4 for filing.
U4 submission (metadata, filingData and operations) must adhere to the U4 schema .
If both filingData and operations are provided in a single call, operations will be ignored.
U4 submission supports Rep Edit and Rep Signature via FINRPO. If a U4 requires Rep Edit or Rep Signature, it must be sent in a draft mode and the final submission must be made via FINRA Gateway.
U4 submission is an asynchronous request. Check for status update with the GET Submission API using unique "ID" received during submission. Please allow 5-15 mins processing time for each U4 submission before making a GET call.
U4 filing can be made in a draft, submitted or validate mode.
"validate" filingStatus triggers a completeness check for the form and provides success or error details via GET Submission API call.
U4 Metadata includes

key	required	value	Example	default
individualCrdNumber	yes	crd number for the registered individual		n/a
filingType	yes	Permitted values: INITIAL AMENDMENT CONCURRENCE CONVERSION DUAL P2BDAMEND P2BINITIAL RELICENSE RELICENSEIA RELICENSEBD		n/a
dateOfBirth	yes	date of birth of an individual in yyyy/mm/dd format	2001/05/15	n/a
repAccess	no	Indicates whether Rep Access is required or not in FINPRO. Following details need to be provided. accessType: partial/full/none individualInformation : boolean employmentInformation: boolean registrationRequests: boolean dualRegistration: boolean examsInformation: boolean professionalDesignations: boolean disclosures: boolean	"repAccess": { "accessType":"partial", "individualInformation": true, "employmentInformation": false, "registrationRequests": false, "dualRegistration": false, "examsInformation": false, "professionalDesignations": false, "disclosures": true }	accessType = none
repCompletionStatus	no	Setting repCompletionStatus = "e_sign_available" allows rep to provide e-signature via FINPRO UI Permitted value: "e_sign_available"	repCompletionStatus = "e_sign_available"	repCompletionStatus = "NOT_AVAILABLE"
ignoreWarnings	no	Setting ignoreWarnings = true in POST Submission metadata will bypass the warning(s)		false

POST v1/submissions/filings/{group}/{name} - Validate Request before submission

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4

Sample Request Payload

 {
               "filing":{
                  "metadata":{
                     "filingStatus":"validate",
                     "filingType":"initial",
                     "individualCrdNumber":8007,
                     "dateOfBirth":"1938-09-11"
                  },
                  "filingData":{
                     //filingData
                  }
               }
            }

Sample GET Response Payload when completeness check passes

 {
        "filing": {
            "metadata": {
                "resultStatus": "PROCESSING",
                "filingStatus": "draft",
                "filingId": "82110517",
                "filingType": "INITIAL",
                "dateOfBirth": "1938-09-11",
                "individualCrdNumber": 8007,
                "resultStatusDesc": {
                    "message": "Completeness check successful",
                    "errors": []
                },
                "created": {
                    "on": "2024-03-13T21:28:04Z",
                    "by": "2047288ee2084e9d91e5"
                },
                "updated": {
                    "on": "2024-03-13T21:28:04Z",
                    "by": "2047288ee2084e9d91e5"
                }
            },
            "filingData": {
                
              //filingData
            }
         },
        "group": "registration",
        "name": "u4",
        "id": "d2b10676-ea5d-4315-bb20-bd4cad0d6815"
    }

Sample GET Request Payload when completeness check fails

 
 "filing": {
        "metadata": {
            "resultStatus": "FAILED_VALIDATION",
            "filingStatus": "draft",
            "esignApplicable": false,
            "filingType": "initial",
            "dateOfBirth": "1938-09-11",
            "individualCrdNumber": 8007,
            "resultStatusDesc": {
                "message": "Invalid request",
                "errors": [
                    {
                        "timestamp": "2024-03-13T16:34:35.853Z",
                        "status": 404,
                        "error": "Not Found",
                        "message": "{\"statusCode\":404,\"statusDescription\":\"Not Found\",\"message\":\"Individual not found: 8007\",\"messageDetails\":[]}",
                        "errorType": "NOT_FOUND"
                    }
                ]
            },
            "created": {
                "on": "2024-03-13T16:34:23Z",
                "by": "test123"
            },
            "updated": {
                "on": "2024-03-13T16:34:23Z",
                "by": "test123"
            }
        }
    },
    "group": "registration",
    "name": "u4",
    "id": "8e3fa93d-e5bd-4d3b-9d16-deb488c992ba" }

POST v1/submissions/filings/{group}/{name} - Initial U4

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4

Sample Request Payload

  {
              "filing": {
                "metadata": {
                  "filingStatus": "submitted",
                  "filingType": "initial",
                  "individualCrdNumber": 80065817,
                  "dateOfBirth": "1938-09-11"
                },
                "filingData": {
                  "drpTermination": {
                    "200510": [],
                    "200905": []
                  },
                  "drpCivilJudicial": {
                    "200510": [],
                    "200905": []
                  },
                  "drpJudgmentLien": {
                    "200510": [],
                    "200905B": [],
                    "200905A": []
                  },
                  "drpBond": {
                    "200510": [],
                    "200905": []
                  },
                  "drpBankruptcy": {
                    "200510": [],
                    "200905": []
                  },
                  "individualInformation": {
                    "individualSsnIdentifier": {
                      "lastModified": "2023-08-02T21:40:45.495Z"
                    },
                    "individualBiometrics": {
                      "genderCode": "M",
                      "heightInches": 1,
                      "hairColorCode": "GRY",
                      "weight": 160,
                      "eyeColorCode": "BLU",
                      "heightFeet": 6
                    },
                    "individualAliases": [
                      {
                        "id": "f0b97926-adb8-4a84-a921-b488df25c4b8",
                        "firstName": "KEITH",
                        "lastName": "ANDERSON",
                        "baseline": true
                      }
                    ],
                    "personalInformation": {
                      "countryOfBirth": "USA",
                      "individualName": {
                        "firstName": "KEITH",
                        "lastName": "ANDERSON"
                      },
                      "dateOfBirth": "1938-09-11",
                      "individualFilingName": {
                        "firstName": "KEITH",
                        "lastName": "ANDERSON"
                      },
                      "stateOfBirth": "CT"
                    },
                    "individualCrdNumber": 80065817,
                    "residentialHistory": [
                      {
                        "address": {
                          "cityName": "Rockville",
                          "countryCode": "USA",
                          "postalCode": "20850",
                          "addressLine1": "12345 Main St",
                          "stateCode": "MD"
                        },
                        "addressStartDate": "1978-09"
                      }
                    ]
                  },
                  "drpCustomerComplaint": {
                    "200510": [],
                    "200905": []
                  },
                  "drpRegulatoryAction": {
                    "200510": [],
                    "200905": []
                  },
                  "drpCriminal": {
                    "200510": [],
                    "200905": []
                  },
                  "disclosureQuestions": {
                    "civilJudicialDisclosure": {
                      "u4H1BCivilJudicialAnswerFlag": false,
                      "u4H2CivilJudicialAnswerFlag": false,
                      "u4H1CCivilJudicialAnswerFlag": false,
                      "u4H1ACivilJudicialAnswerFlag": false
                    },
                    "criminalDisclosure": {
                      "u4B1BIndividualCriminalAnswerFlag": false,
                      "u4B1AIndividualCriminalAnswerFlag": false,
                      "u4B2BOrganizationCriminalAnswerFlag": false,
                      "u4B2AOrganizationCriminalAnswerFlag": false,
                      "u4A1BIndividualCriminalAnswerFlag": false,
                      "u4A1AIndividualCriminalAnswerFlag": false,
                      "u4A2BOrganizationCriminalAnswerFlag": false,
                      "u4A2AOrganizationCriminalAnswerFlag": false
                    },
                    "bondDisclosure": {
                      "u4LBondAnswerFlag": false
                    },
                    "bankruptcyDisclosure": {
                      "u4K2OrganizationalBankruptcyCompromiseAnswerFlag": false,
                      "u4K3OrganizationalBankruptcyAnswerFlag": false,
                      "u4K1IndividualBankruptcyCompromiseAnswerFlag": false
                    },
                    "judgmentLienDisclosure": {
                      "u4MJudgmentLienAnswerFlag": false
                    },
                    "customerComplaintDisclosure": {
                      "u4I1DCustomerComplaintAnswerFlag": false,
                      "u4I4ACustomerComplaintAnswerFlag": false,
                      "u4I5ACustomerComplaintAnswerFlag": false,
                      "u4I5BCustomerComplaintAnswerFlag": false,
                      "u4I1ACustomerComplaintAnswerFlag": false,
                      "u4I2BCustomerComplaintAnswerFlag": false,
                      "u4I1BCustomerComplaintAnswerFlag": false,
                      "u4I2ACustomerComplaintAnswerFlag": false,
                      "u4I4BCustomerComplaintAnswerFlag": false,
                      "u4I3ACustomerComplaintAnswerFlag": false,
                      "u4I3BCustomerComplaintAnswerFlag": false,
                      "u4I1CCustomerComplaintAnswerFlag": false
                    },
                    "investigationDisclosure": {
                      "u4G2InvestigationAnswerFlag": false
                    },
                    "terminationDisclosure": {
                      "u4J3TerminationAnswerFlag": false,
                      "u4J1TerminationAnswerFlag": false,
                      "u4J2TerminationAnswerFlag": false
                    },
                    "regulatoryActionDisclosure": {
                      "u4E2RegulatoryActionAnswerFlag": false,
                      "u4E4RegulatoryActionAnswerFlag": false,
                      "u4E6RegulatoryActionAnswerFlag": false,
                      "u4C2RegulatoryActionAnswerFlag": false,
                      "u4D1BRegulatoryActionAnswerFlag": false,
                      "u4C8RegulatoryActionAnswerFlag": false,
                      "u4D2ARegulatoryActionAnswerFlag": false,
                      "u4FRegulatoryActionAnswerFlag": false,
                      "u4C4RegulatoryActionAnswerFlag": false,
                      "u4C6RegulatoryActionAnswerFlag": false,
                      "u4D1ERegulatoryActionAnswerFlag": false,
                      "u4E1RegulatoryActionAnswerFlag": false,
                      "u4D2BRegulatoryActionAnswerFlag": false,
                      "u4C3RegulatoryActionAnswerFlag": false,
                      "u4D1CRegulatoryActionAnswerFlag": false,
                      "u4E3RegulatoryActionAnswerFlag": false,
                      "u4C7RegulatoryActionAnswerFlag": false,
                      "u4E7RegulatoryActionAnswerFlag": false,
                      "u4C1RegulatoryActionAnswerFlag": false,
                      "u4D1ARegulatoryActionAnswerFlag": false,
                      "u4G1RegulatoryActionAnswerFlag": false,
                      "u4D1DRegulatoryActionAnswerFlag": false,
                      "u4C5RegulatoryActionAnswerFlag": false,
                      "u4E5RegulatoryActionAnswerFlag": false
                    }
                  },
                  "individualNonIndustryEmployments": [
                    {
                      "employmentStartDate": "1978-09",
                      "employerFirmName": "FINRA ORG",
                      "address": {
                        "cityName": "Rockville",
                        "countryCode": "USA",
                        "stateCode": "MD"
                      },
                      "investmentRelatedIndicator": true,
                      "positionDescription": "OTHER - Principal"
                    }
                  ],
                  "drpInvestigation": {
                    "200510": [],
                    "200905": []
                  },
                  "dualRegistration": {
                    "unaffiliatedRegistration": {
                      "bdAffiliatedFlag": false,
                      "iaAffiliatedFlag": false
                    }
                  },
                  "firmAssociations": {
                    "affiliatedFirmFlag": false,
                    "affiliatedFirmAssociation": [],
                    "filingFirmAssociation": {
                      "fingerprintInformation": {
                        "fingerprintClassification": "PRVD"
                      },
                      "registrations": [
                        {
                          "registrationCategoryCode": "GS",
                          "regulatorIdentifier": 1
                        }
                      ],
                      "firmProfile": {
                        "employmentStartDate": "2023-06-10",
                        "independentContractorFlag": false,
                        "firmName": "FINRA",
                        "firmCrdNumber": 1
                      },
                      "officeLocations": [
                        {
                          "branchCode": "123",
                          "iaMainOfficeIndicator": false,
                          "address": {
                            "cityName": "Rockville",
                            "countryCode": "UNITED STATES",
                            "postalCode": "20850",
                            "addressLine1": "125 Main St",
                            "stateCode": "MD"
                          },
                          "privateResidenceFlag": false,
                          "isRegisteredLocation": true,
                          "baseline": true,
                          "branchCrdNumber": 111,
                          "employmentLocationStartDate": "2023-06-10",
                          "officeLocationType": "Located At",
                          "bdMainOfficeIndicator": false
                        }
                      ],
                      "baseline": true,
                      "jurisdictionRegistrations": []
                    }
                  },
                  "individualOtherBusinesses": {
                    "otherBusinessFlag": false
                  },
                  "professionalDesignations": [],
                  "signatures": {
                    "indvlAcknowledgementConsent": {
                      "indvlSignature": "signature",
                      "indvlSignatureDate": "2023-01-01"
                    },
                    "firmSignatoryRepresentations": {
                      "firmSignature": "signature",
                      "firmSignatureDate": "2023-01-01"
                    }
                  }
                }
              }
            }

Sample Response

  {
              "filing": {
                "metadata": {
                  "filingStatus": "submitted",
                  "filingType": "initial",
                  "individualCrdNumber": 80065817,
                  "dateOfBirth": "1938-09-11",
                  "updated": {
                    "on": "2023-10-06T17:41:37Z",
                    "by": "a51ab3b41b5f404d8051"
                  },
                  "created": {
                    "on": "2023-10-06T17:41:37Z",
                    "by": "a51ab3b41b5f404d8051"
                  },
                  "submitted": {
                    "on": "2023-10-06T17:41:37Z",
                    "by": "a51ab3b41b5f404d8051"
                  }
                },
                "filingData": {
                // full U4
                }
              }
            }

POST v1/submissions/filings/{group}/{name} - Amendment with instructions

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4

Sample Request Payload

{
          "filing": {
            "metadata": {
              "filingStatus": "submitted",
              "individualCrdNumber": 80065817,
              "filingType": "amendment",
              "dateOfBirth": "1938-09-11"
            },
            "operations": [
              {
                "op": "replace",
                "path": "/individualInformation/personalInformation/individualName/lastName",
                "value": "Lawrence"
              },
              {
                "op": "add",
                "path": "/signatures",
                "value": {
                  "firmSignatoryRepresentations": {
                    "firmSignature": "signature",
                    "firmSignatureDate": "2023-01-01"
                  },
                  "amendedFirmSignatoryRepresentations": {
                    "amendedFirmSignature": "signature",
                    "amendedFirmSignatureDate": "2023-01-02"
                  }
                }
              }
            ]
          }
        }

Sample Response

{
          "filing": {
            "metadata": {
              "filingStatus": "submitted",
              "individualCrdNumber": 80065817,
              "filingType": "amendment",
              "dateOfBirth": "1938-09-11",
              "updated": {
                "on": "2023-10-06T17:55:25Z",
                "by": "a51ab3b41b5f404d8051"
              },
              "created": {
                "on": "2023-10-06T17:55:25Z",
                "by": "a51ab3b41b5f404d8051"
              },
              "submitted": {
                "on": "2023-10-06T17:55:25Z",
                "by": "a51ab3b41b5f404d8051"
              }
            },
            "operations": [
              {
                "op": "replace",
                "path": "/individualInformation/personalInformation/individualName/lastName",
                "value": "Lawrence"
              },
              {
                "op": "add",
                "path": "/signatures",
                "value": {
                  "firmSignatoryRepresentations": {
                    "firmSignature": "signature",
                    "firmSignatureDate": "2023-01-01"
                  },
                  "amendedFirmSignatoryRepresentations": {
                    "amendedFirmSignature": "signature",
                    "amendedFirmSignatureDate": "2023-01-02"
                  }
                }
              }
            ]
          },
          "id": "5c0af670-ef84-4e6a-bf7d-e07a1267a29a",
          "group": "registration",
          "name": "u4"
        }

POST v1/submissions/filings/{group}/{name} - Allow Rep Edit in FINPRO

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4

Sample Request Payload

{
          "filing": {
            "metadata": {
              "filingStatus": "draft",
              "individualCrdNumber": 23234,
              "filingType": "amendment",
              "dateOfBirth": "2001-05-15",
              "repAccess": {
                "accessType": "partial",
                "individualInformation": true,
                "employmentInformation": false,
                "registrationRequests": false,
                "dualRegistration": false,
                "examsInformation": false,
                "professionalDesignations": false,
                "disclosures": true
              }
            },
            "filingData": {
            //full U4
            }
          }
        }

Sample Response

{
          "id": "9084b744-7639-11ed-a1eb-0242ac120002",
          "group": "registration",
          "name": "u4",
          "filing": {
            "metadata": {
              "filingStatus": "draft",
              "individualCrdNumber": 23234,
              "filingType": "amendment",
              "dateOfBirth": "2001-05-15",
              "repAccess": {
                "accessType": "partial",
                "individualInformation": true,
                "employmentInformation": false,
                "registrationRequests": false,
                "dualRegistration": false,
                "examsInformation": false,
                "professionalDesignations": false,
                "disclosures": true
              },
              "created": {
                "on": "2022-11-16T17:35:47Z",
                "by": "2bd71800671b414e9703"
              },
              "updated": {
                "on": "2022-11-16T17:35:47Z",
                "by": "2bd71800671b414e9703"
              }
            },
            "filingData": {}
          }
        }

POST v1/submissions/filings/{group}/{name} - Amendment to add Exam

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4

Sample Request Payload

{
    "filing": {
        "metadata": {
            "individualCrdNumber":71372,
            "filingType": "amendment",
            "filingStatus": "submitted",
            "dateOfBirth": "1958-09-11"
        },
        "operations": [
            {
                "op": "add",
                "path": "/examsInformation",
                "value": {
                    "examCode": [
                        "S65"
                    ]
                }
            },
            {
                "op": "add",
                "path": "/signatures",
                "value": {
                    "firmSignatoryRepresentations": {
                        "firmSignature": "signature",
                        "firmSignatureDate": "2023-01-01"
                    },
                    "amendedFirmSignatoryRepresentations": {
                        "amendedFirmSignature": "signatures",
                        "amendedFirmSignatureDate": "2023-01-02"
                    }
                }
            }
        ]
    }
}

POST v1/submissions/filings/{group}/{name} - Amendment with ID to replace/update a value

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4

Sample Request Payload

 {
    "filing": {
        "metadata": {
            "individualCrdNumber":66343,
            "filingType": "amendment",
            "filingStatus": "submitted|draft",
            "dateOfBirth": "1958-09-11"
        },
        "operations": [
            {
                "op": "replace",
                "path": "/individualInformation/residentialHistory/[id:d5518adb-21dd-4426-885f-90619c1da974]/address/cityName",
                "value": "Philadelphia"
            },
        {
                "op": "add",
                "path": "/signatures",
                "value": {
                    "firmSignatoryRepresentations": {
                        "firmSignature": "signature",
                        "firmSignatureDate": "2023-01-01"
                    },
                    "amendedFirmSignatoryRepresentations": {
                        "amendedFirmSignature": "signatures",
                        "amendedFirmSignatureDate": "2023-01-02"
                    }
                }
            }          ]
    }
}

POST v1/submissions/filings/{group}/{name} - Amendment to change an object within an array

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4

Sample Request Payload

 {
    "filing": {
        "metadata": {
            "individualCrdNumber": 71581,
            "filingType": "amendment",
            "filingStatus": "submitted",
            "dateOfBirth": "1978-09-11"
        },
        "operations": [
            {
                "op": "replace",
                "path": "/individualInformation/residentialHistory/[id:bca3d175-1766-417f-89e4-2d5a1d45ee34]/address",
                "value": {
                    "cityName": "NEW SAYBROOK",
                    "countryCode": "USA",
                    "postalCode": "20850",
                    "addressLine1": "50 FINRA AVENUE",
                    "stateCode": "MD"
                }
            },
            {
                "op": "add",
                "path": "/signatures",
                "value": {
                    "firmSignatoryRepresentations": {
                        "firmSignature": "signature",
                        "firmSignatureDate": "2023-01-01"
                    },
                    "amendedFirmSignatoryRepresentations": {
                        "amendedFirmSignature": "signatures",
                        "amendedFirmSignatureDate": "2023-01-02"
                    }
                }
            }
        ]
    }
}

POST v1/submissions/filings/{group}/{name} - Add new Jurisdiction Registration

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4

Sample Request Payload

{
    "filing": {
        "metadata": {
            "individualCrdNumber":69397,
            "filingType": "amendment",
            "filingStatus": "submitted",
            "dateOfBirth": "1978-09-11"
        },
        "operations": [
            {
                "op": "add",
                "path": "firmAssociations/filingFirmAssociation/jurisdictionRegistrations/-",
                "value": {
                    "registrationCategoryCode": "AG",
                    "regulatorIdentifier": 50018
                }
            },
            {
                "op": "add",
                "path": "/signatures",
                "value": {
                    "firmSignatoryRepresentations": {
                        "firmSignature": "signature",
                        "firmSignatureDate": "2023-01-01"
                    },
                    "amendedFirmSignatoryRepresentations": {
                        "amendedFirmSignature": "signatures",
                        "amendedFirmSignatureDate": "2023-01-02"
                    }
                }
            }
        ]
    }
}

POST v1/submissions/filings/{group}/{name} - RSL Update for a location

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4

Sample Request Payload using "id"


{
    "filing": {
        "metadata": {
            "individualCrdNumber": 560023,
            "filingType": "amendment",
            "filingStatus": "submitted",
            "dateOfBirth": "1963-04-12"
        },
        "operations": [
           {
                "op": "replace",
                "path": "/firmAssociations/filingFirmAssociation/officeLocations/[employmentLocationAssociationIdentifier: 200297975]/privateResidenceFlag",
                "value": "true"
},
            {
                "op": "replace",
                "path": "/firmAssociations/filingFirmAssociation/officeLocations/[id:2a2cceb2-9bb7-4855-9f0b-b1625506b8b9]/isResidentialSupervisoryLocation",
                "value": "true"
            },
            {
                "op": "add",
                "path": "/signatures",
                "value": {
                    "firmSignatoryRepresentations": {
                        "firmSignature": "signature",
                        "firmSignatureDate": "2024-01-01"
                    },
                    "amendedFirmSignatoryRepresentations": {
                        "amendedFirmSignature": "signatures",
                        "amendedFirmSignatureDate": "2024-01-02"
                    }
                }
            }
        ]
    }
}

Sample Request Payload using "employmentLocationAssociationIdentifier"


{
    "filing": {
        "metadata": {
            "individualCrdNumber": 5623,
            "filingType": "amendment",
            "filingStatus": "submitted",
            "dateOfBirth": "1946-11-11",
             "esignApplicable": false
        },
        "operations": [
            {
                "op": "add",
                "path": "/firmAssociations/filingFirmAssociation/officeLocations/[employmentLocationAssociationIdentifier:19919747]/isResidentialSupervisoryLocation",
                "value": "true"
            },
            {
                "op": "add",
                "path": "/signatures",
                "value": {
                   "amendedFirmSignatoryRepresentations": {
                        "amendedFirmSignature": "signatures",
                        "amendedFirmSignatureDate": "2023-01-02"
                    },
                    "amendedIndvlAcknowledgementConsent": {
                        "amendedIndvlSignature": "signature",
                        "amendedIndvlSignatureDate": "2023-01-02"
                    }
                }
            }
        ]
    }
}

POST v1/submissions/filings/{group}/{name} - Add an Affiliated Firm

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4

Sample Request Payload using "id"

{
    "filing": {
        "metadata": {
            "individualCrdNumber": 873719,
            "filingType": "amendment",
            "filingStatus": "submitted",
            "dateOfBirth": "1988-09-01"
        },
        "operations": [
            {
                "op": "replace",
                "path": "/firmAssociations/affiliatedFirmFlag",
                "value": true
            },
            {
                "op": "add",
                "path": "/firmAssociations/affiliatedFirmAssociation/-",
                "value": {
                    "firmProfile": {
                        "firmBillingCode": "52-10764",
                        "firmCrdNumber": 2006,
                        "firmName": "ABC SERVICES INC.",
                        "employmentStartDate": "2010-06-10",
                        "independentContractorFlag": false
                    },
                    "fingerprintInformation": {
                        "exemptionCode": [],
                        "fingerprintClassification": "PRVD"
                    },
                    "officeLocations": [
                        {
                            "address": {
                                "addressLine1": "100 10th Ave S",
                                "cityName": "Minneapolis",
                                "stateCode": "MN",
                                "postalCode": "55402",
                                "countryCode": "USA"
                            },
                            "privateResidenceFlag": false,
                            "isRegisteredLocation": true,
                            "baseline": true,
                            "branchCrdNumber": 277555,
                            "employmentLocationStartDate": "2010-06-10",
                            "officeLocationType": "Located At"
                        }
                    ],
                    "registrations": [
                        {
                            "registrationCategoryCode": "GS",
                            "regulatorIdentifier": 1
                        }
                    ]
                }
            },
            {
                "op": "add",
                "path": "/signatures",
                "value": {
                    "amendedFirmSignatoryRepresentations": {
                        "amendedFirmSignature": "signatures",
                        "amendedFirmSignatureDate": "2023-01-02"
                    },
                    "amendedIndvlAcknowledgementConsent": {
                        "amendedIndvlSignature": "signature",
                        "amendedIndvlSignatureDate": "2023-01-02"
                    }
                }
            }
        ]
    }
}

PATCH v1/submissions/filings/{group}/{name}/{id} - Updating a draft U4

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4/e6bb249c-75b0-11ed-a1eb-0242ac120002

Sample Request Payload


            {
              "filing": {
                "metadata": {
                  "filingStatus": "draft|submitted"
                },
                "operations": [
                  {
                    "op": "add",
                    "path": "/drpBond",
                    "value": {
                       // drp bond data
                    }
                  }
                ]
              }
            }

Sample Response

PUT v1/submissions/filings/{group}/{name}/{id} - Updating a draft U4

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4/e6bb249c-75b0-11ed-a1eb-0242ac120002

Sample Request Payload


{
  "filing": {
    "metadata": {
      "filingStatus": "draft|submitted",
      "individualCrdNumber": 23234,
      "filingType": "amendment",
      "dateOfBirth": "2001/05/15",
      "repAccess": {
        "accessType": "partial",
        "individualInformation": true,
        "employmentInformation": false,
        "registrationRequests": false,
        "dualRegistration": false,
        "examsInformation": false,
        "professionalDesignations": false,
        "disclosures": true
      }
    },
    "operations": [
      {
        "op": "replace",
        "path": "/personalInformation/individualInformation/lastName",
        "value": "adam"
      }
    ]
  }
}

Sample Response

GET v1/submissions/filings/{group}/{name}/{id} (resultStatus = processing)

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4/e6bb249c-75b0-11ed-a1eb-0242ac120002

Sample Response Payload

{
  "id": "9084b744-7639-11ed-a1eb-0242ac120002",
  "group": "registration",
  "name": "u4",
  "filing": {
    "metadata": {
      "filingStatus": "submitted",
      "individualCrdNumber": 23234,
      "filingType": "amendment",
      "dateOfBirth": "2001/05/15",
      "repAccess": {
        "accessType": "partial",
        "individualInformation": true,
        "employmentInformation": false,
        "registrationRequests": false,
        "dualRegistration": false,
        "examsInformation": false,
        "professionalDesignations": false,
        "disclosures": true
      },
      "resultStatus": "processing",
      "resultStatusDesc": {
        "message": "processing",
        "errors": []
      },
      "created": {
        "on": "2022-11-16T17:35:47Z",
        "by": "2bd71800671b414e9703"
      },
      "updated": {
        "on": "2022-11-16T17:35:47Z",
        "by": "2bd71800671b414e9703"
      }
    },
    "filingData": {
       // whole full u4
    }
  }
}

GET v1/submissions/filings/{group}/{name}/{id} (resultStatus = failed-validation)

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4/e6bb249c-75b0-11ed-a1eb-0242ac120002

Sample Response Payload

{
      "id": "9084b744-7639-11ed-a1eb-0242ac120002",
      "group": "registration",
      "name": "u4",
      "filing": {
        "metadata": {
          "submissionstatus": "submitted",
          "individualcrdnumber": 23234,
          "filingtype": "amendment",
          "dateofbirth": "2001/05/15",
          "repaccess": {
            "accesstype": "partial",
            "individualinformation": true,
            "employmentinformation": false,
            "registrationrequests": false,
            "dualregistration": false,
            "examsinformation": false,
            "professionaldesignations": false,
            "disclosures": true
          },
          "resultstatus": "failed-validation",
          "resultstatusdesc": {
            "message": "validation failed",
            "errors": [
              {
                "dateofbirth": "invalid format"
              }
            ]
          },
          "created": {
            "on": "2022-11-16t17:35:47z",
            "by": "2bd71800671b414e9703"
          },
          "updated": {
            "on": "2022-11-16t17:35:47z",
            "by": "2bd71800671b414e9703"
          }
        },
        "filingdata": {
           // whole full u4
        }
      }
    }

GET v1/submissions/filings/{group}/{name}/{id} (resultStatus = processed))

GET U4 with resultStatus = processed

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4/e6bb249c-75b0-11ed-a1eb-0242ac120002

Sample Response Payload

{
      "id": "9084b744-7639-11ed-a1eb-0242ac120002",
      "group": "registration",
      "name": "u4",
      "filing": {
        "metadata": {
          "filingStatus": "submitted",
          "individualCrdNumber": 23234,
          "filingType": "amendment",
          "dateOfBirth": "2001/05/15",
          "repAccess": {
            "accessType": "partial",
            "individualInformation": true,
            "employmentInformation": false,
            "registrationRequests": false,
            "dualRegistration": false,
            "examsInformation": false,
            "professionalDesignations": false,
            "disclosures": true
          },
          "resultStatus": "processed",
          "resultStatusDesc": {
            "message": "successfully processed",
            "errors": []
          },
          "created": {
            "on": "2022-11-16T17:35:47Z",
            "by": "2bd71800671b414e9703"
          },
          "updated": {
            "on": "2022-11-16T17:35:47Z",
            "by": "2bd71800671b414e9703"
          }
        },
        "filingData": {
          // whole full u4
        }
      }
    }

POST & GET v1/submissions/filings/{group}/{name} - Warnings

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u4/e6bb249c-75b0-11ed-a1eb-0242ac120002

Sample POST Request Payload

   {
    "filing": {
        "metadata": {
            "individualCrdNumber": 7873990,
            "filingType": "amendment",
            "filingStatus": "submitted",
            "dateOfBirth": "1938-01-11",
            "ignoreWarnings": false
        },
        "operations": [
            {
                "op": "add",
                "path": "/drpInvestigation/200905/-",
                "value": {
                    "formU4Investigation": {
                        "initiatorType": "SEC",
                        "initiatorName": "UNITED STATES SECURITIES AND EXCHANGE COMMISSION",
                        "disclosureEventDateDetails": {
                            "date": "2020-01-01",
                            "exactDate": true
                        },
                        "disclosureEventDetailText": "Payment method 4234 1646 9877 9393 will be used ",
                        "disclosureEventPendingFlag": true,
                        "dispositionTypeCode": "OTHER",
                        "dispositionTypeOtherText": "dfhdjfhdjf",
                        "investigationU4DisclosureQuestionSelection": [
                            "14G(2)"
                        ]
                    }
                }
            },
            {
                "op": "replace",
                "path": "/disclosureQuestions/investigationDisclosure/u4G2InvestigationAnswerFlag",
                "value": true
            },
            {
                "op": "add",
                "path": "/signatures",
                "value": {
                    "firmSignatoryRepresentations": {
                        "firmSignature": "signature",
                        "firmSignatureDate": "2023-01-01"
                    },
                    "amendedFirmSignatoryRepresentations": {
                        "amendedFirmSignature": "signatures",
                        "amendedFirmSignatureDate": "2023-01-02"
                    }
                }
            }
        ]
    }
}

Sample GET Response


{
   "filing":{
      "metadata":{
         "ignoreWarnings":false,
         "dateOfBirth":"1938-01-11",
         "resultStatusDesc":{
            "message":"Failed completeness check",
            "errors":[
               "Schema validation error"
            ],
            "warnings":[
               "#/drpInvestigation/200905/0/formU4Investigation/disclosureEventDetailText : [Found Potential Sensitive Data of type CREDIT_CARD_NUMBER. If appropriate, please remove sensitive data. If no change is made you will be asked to acknowledge choice of ignoring warnings prior to submission.]"
            ]
         },
         "resultStatus":"FAILED_VALIDATION",
         "filingStatus":"draft",
         "filingId":"63847919",
         "filingType":"AMENDMENT",
         "individualCrdNumber":7873990,
         "created":{
            "on":"2025-03-26T21:09:09Z",
            "by":"89eb82784f3f4a08b297"
         },
         "updated":{
            "on":"2025-03-26T21:09:09Z",
            "by":"89eb82784f3f4a08b297"
         }
      },
      "filingData":{
         //filingData
      },
      "group":"registration",
      "name":"u4",
      "id":"d4a65556-95541-45554-bce9-220be2e454af"
   }
}

U5 submission type is for submitting Form U5 filing. The Form U5 is the Uniform Termination Notice for Securities Industry Registration.

API Credential Types

Firm

Quicklinks

U5 Schema

U5 Schema Files

Submission Type Info:

group	name
registration	u5

Submission Type Details

U5 filing can be made in a draft, submitted, or validate mode.
There are two ways of filing a U5 amendment (demonstrated in sample API calls below)
1. By submitting the full U5 with changes
2. By submitting with just the instructions
U4 submission (metadata, filingData and operations) must adhere to the U5 schema .
U5 submission is an asynchronous request. Check for status update with the GET Submission API using unique "ID" received during submission. Please allow 5-15 mins processing time for each U5 submission before making a GET call.
U5 Metadata includes

key	required	value	Example	default
individualCrdNumber	yes	crd number for the registered individual		n/a
filingType	yes	Permitted values: full amendment partial		n/a
dateOfBirth	yes	date of birth of an individual in yyyy/mm/dd format	2001/05/15	n/a
ignoreWarnings	no	Setting ignoreWarnings = true in POST Submission metadata will bypass the warning(s)		false

POST v1/submissions/filings/{group}/{name} - Validate Request before submission

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u5

Sample Request Payload

{
        "filing": {
            "metadata": {
                "filingStatus": "validate",
                "filingType": "partial",
                "individualCrdNumber": 80071404,
                "dateOfBirth": "1938-09-11"
            },
            "filingData": {
            //filingData
                
            }
        }
    }

Sample GET Response Payload when completeness check passes

 {
                "filing": {
                    "metadata": {
                        "resultStatus": "PROCESSING",
                        "filingStatus": "draft",
                        "filingId": "82110517",
                        "filingType": "PARTIAL",
                        "dateOfBirth": "1938-09-11",
                        "individualCrdNumber": 80071372,
                        "resultStatusDesc": {
                            "message": "Completeness check successfully",
                            "errors": []
                        },
                        "created": {
                            "on": "2024-03-13T21:28:04Z",
                            "by": "2047288ee2084e9d91e5"
                        },
                        "updated": {
                            "on": "2024-03-13T21:28:04Z",
                            "by": "2047288ee2084e9d91e5"
                        }
                    },
                    "filingData": {
                        
                      //filingData
                    }
                },
                "group": "registration",
                "name": "u5",
                "id": "d2b10676-ea5d-4315-bb20-bd4cad0d6815"
            }

Sample GET Response Payload when completeness check fails

 {
      "filing": {
        "metadata": {
          "resultStatus": "FAILED_VALIDATION",
          "filingStatus": "draft",
          "filingId": "82113824",
          "filingType": "PARTIAL",
          "dateOfBirth": "1938-09-11",
          "individualCrdNumber": 80071404,
          "resultStatusDesc": {
            "message": "Failed completeness check",
            "errors": [
              {
                "timestamp": "2024-03-14T20:17:02.465Z",
                "status": 400,
                "error": "Bad Request",
                "message": "Collected Data Schema validation error",
                "errorType": "COLLECTED_DATA_SCHEMA_VALIDATION_ERROR",
                "errorDetails": {
                  "#/firmAssociations/filingFirmAssociation/registrations/0/registrationCategoryCode": [
                    "'registration-categories' is a required field."
                  ],
                  "#/firmAssociations/filingFirmAssociation/registrations/0/regulatorIdentifier": [
                    "'sro-agencies' is a required field."
                  ]
                },
                "warningDetails": {}
              }
            ]
          },
          "created": {
            "on": "2024-03-14T20:16:42Z",
            "by": "2047288ee2084e9d91e5"
          },
          "updated": {
            "on": "2024-03-14T20:16:42Z",
            "by": "2047288ee2084e9d91e5"
          }
        }
      }
    }

POST v1/submissions/filings/{group}/{name} - Full Termination

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u5

Sample Request Payload

{
        "filing": {
            "metadata": {
                "filingStatus": "submitted",
                "filingType": "full",
                "individualCrdNumber": 80067413,
                "dateOfBirth": "1938-09-11"
            },
            "filingData": {
                "individualInformation": {
                    "currentResidentialAddress": [
                        {
                            "address": {
                                "cityName": "Rockville",
                                "countryCode": "USA",
                                "postalCode": "0850",
                                "addressLine1": "123 Main st",
                                "stateCode": "MD"
                            },
                            "addressStartDate": "1978-09"
                        }
                    ],
                    "personalInformation": {
                        "individualFilingName": {
                            "firstName": "Testing",
                            "lastName": "Testing",
                            "middleName": "Testing",
                            "suffix": "JR"
                        }
                    },
                    "individualCrdNumber": 80067413
                },
                "drpCustomerComplaint": {
                    "200510": [],
                    "200905": []
                },
                "drpRegulatoryAction": {
                    "200510": [],
                    "200905": []
                },
                "firmAssociations": {
                    "affiliatedFirmAssociation": [],
                    "filingFirmAssociation": {
                        "registrations": [],
                        "firmProfile": {
                            "firmBillingCode": "12345",
                            "firmName": "Firm Name",
                            "firmCrdNumber": 123
                        },
                        "officeLocations": [
                            {
                                "id": "ba114bed-5092-482b-bc86-87d5aee928c7",
                                "employmentLocationAssociationIdentifier": 200144175,
                                "branchCrdNumber": 12345,
                                "branchFirmBillingCode": "12345",
                                "employmentLocationStartDate": "2018-06-25",
                                "privateResidenceFlag": false,
                                "officeLocationType": "Located At",
                                "isRegisteredLocation": true,
                                "bdMainOfficeIndicator": false,
                                "iaMainOfficeIndicator": false,
                                "address": {
                                    "addressLine1": "123 Main st",
                                    "addressLine2": "STE 2A",
                                    "cityName": "Rockville",
                                    "stateCode": "MD",
                                    "postalCode": "0850",
                                    "countryCode": "USA"
                                },
                                "baseline": true
                            }
                        ],
                        "jurisdictionRegistrations": []
                    }
                },
                "drpCriminal": {
                    "200510": [],
                    "200905": []
                },
                "terminationDetails": {
                    "fullTerminationDetails": {
                        "flag": true,
                        "reasonTypeCode": "RESIGNED",
                        "explanationText": "Testing"
                    },
                    "terminationDateDetails": {
                        "date": "2023-11-11"
                    }
                },
                "disclosureQuestions": {
                    "formU5DisclosureQuestionAnswer": {
                        "criminalDisclosure": {
                            "u5C3IndividualCriminalAnswer": false,
                            "u5C1IndividualCriminalAnswer": false,
                            "u5C4IndividualCriminalAnswer": false,
                            "u5C2IndividualCriminalAnswer": false
                        },
                        "disclosureCertification": false,
                        "customerComplaintDisclosure": {
                            "u5E1bIndividualCustomerComplaintAnswer": false,
                            "u5E3bIndividualCustomerComplaintAnswer": false,
                            "u5E1aIndividualCustomerComplaintAnswer": false,
                            "u5E3aIndividualCustomerComplaintAnswer": false,
                            "u5E1dIndividualCustomerComplaintAnswer": false,
                            "u5E1cIndividualCustomerComplaintAnswer": false,
                            "u5E4aIndividualCustomerComplaintAnswer": false,
                            "u5E2bIndividualCustomerComplaintAnswer": false,
                            "u5E4bIndividualCustomerComplaintAnswer": false,
                            "u5E2aIndividualCustomerComplaintAnswer": false,
                            "u5E5aIndividualCustomerComplaintAnswer": false,
                            "u5E5bIndividualCustomerComplaintAnswer": false
                        },
                        "internalReviewDisclosure": {
                            "u5BIndividualInternalReviewAnswer": false
                        },
                        "investigationDisclosure": {
                            "u5AIndividualInvestigationAnswer": false
                        },
                        "terminationDisclosure": {
                            "u5F3IndividualTerminationAnswer": false,
                            "u5F1IndividualTerminationAnswer": false,
                            "u5F2IndividualTerminationAnswer": false
                        },
                        "regulatoryActionDisclosure": {
                            "u5DIndividualRegulatoryActionAnswer": false
                        }
                    }
                },
                "signatures": {
                    "firmAcknowledgement": {
                        "contactPersonName": "Test",
                        "contactPersonNumber": "123,123,1234",
                        "signatureText": "Signature",
                        "signatureDate": "2023-11-11"
                    }
                }
            }
        }
    }

Sample Response

{
    "filing": {
        "metadata": {
            "filingStatus": "submitted",
            "filingType": "full",
            "individualCrdNumber": 80067413,
            "dateOfBirth": "1938-09-11",
            "updated": {
                "on": "2023-11-30T19:19:02Z",
                "by": "2047288ee2084e9d91e5"
            },
            "created": {
                "on": "2023-11-30T19:19:02Z",
                "by": "2047288ee2084e9d91e5"
            },
            "submitted": {
                "on": "2023-11-30T19:19:02Z",
                "by": "2047288ee2084e9d91e5"
            }
        },
        "filingData": {
            "individualInformation": {
                "currentResidentialAddress": [
                    {
                        "address": {
                            "cityName": "Rockville",
                            "countryCode": "USA",
                            "postalCode": "0850",
                            "addressLine1": "123 Main st",
                            "stateCode": "MD"
                        },
                        "addressStartDate": "1978-09"
                    }
                ],
                "personalInformation": {
                    "individualFilingName": {
                        "firstName": "Testing",
                        "lastName": "Testing",
                        "middleName": "Testing",
                        "suffix": "JR"
                    }
                },
                "individualCrdNumber": 80067413
            },
            "drpCustomerComplaint": {
                "200510": [],
                "200905": []
            },
            "drpRegulatoryAction": {
                "200510": [],
                "200905": []
            },
            "firmAssociations": {
                "affiliatedFirmAssociation": [],
                "filingFirmAssociation": {
                    "registrations": [],
                    "firmProfile": {
                        "firmBillingCode": "12345",
                        "firmName": "Firm Name",
                        "firmCrdNumber": 12345
                    },
                    "officeLocations": [
                        {
                            "id": "ba114bed-5092-482b-bc86-87d5aee928c7",
                            "employmentLocationAssociationIdentifier": 200144175,
                            "branchCrdNumber": 12345,
                            "branchFirmBillingCode": "12345",
                            "employmentLocationStartDate": "2018-06-25",
                            "privateResidenceFlag": false,
                            "officeLocationType": "Located At",
                            "isRegisteredLocation": true,
                            "bdMainOfficeIndicator": false,
                            "iaMainOfficeIndicator": false,
                            "address": {
                                "addressLine1": "123 Main st",
                                "addressLine2": "STE 2A",
                                "cityName": "Rockville",
                                "stateCode": "MD",
                                "postalCode": "0850",
                                "countryCode": "USA"
                            },
                            "baseline": true
                        }
                    ],
                    "jurisdictionRegistrations": []
                }
            },
            "drpCriminal": {
                "200510": [],
                "200905": []
            },
            "terminationDetails": {
                "fullTerminationDetails": {
                    "flag": true,
                    "reasonTypeCode": "RESIGNED",
                    "explanationText": "Testing"
                },
                "terminationDateDetails": {
                    "date": "2023-12-31"
                }
            },
            "disclosureQuestions": {
                "formU5DisclosureQuestionAnswer": {
                    "criminalDisclosure": {
                        "u5C3IndividualCriminalAnswer": false,
                        "u5C1IndividualCriminalAnswer": false,
                        "u5C4IndividualCriminalAnswer": false,
                        "u5C2IndividualCriminalAnswer": false
                    },
                    "disclosureCertification": false,
                    "customerComplaintDisclosure": {
                        "u5E1bIndividualCustomerComplaintAnswer": false,
                        "u5E3bIndividualCustomerComplaintAnswer": false,
                        "u5E1aIndividualCustomerComplaintAnswer": false,
                        "u5E3aIndividualCustomerComplaintAnswer": false,
                        "u5E1dIndividualCustomerComplaintAnswer": false,
                        "u5E1cIndividualCustomerComplaintAnswer": false,
                        "u5E4aIndividualCustomerComplaintAnswer": false,
                        "u5E2bIndividualCustomerComplaintAnswer": false,
                        "u5E4bIndividualCustomerComplaintAnswer": false,
                        "u5E2aIndividualCustomerComplaintAnswer": false,
                        "u5E5aIndividualCustomerComplaintAnswer": false,
                        "u5E5bIndividualCustomerComplaintAnswer": false
                    },
                    "internalReviewDisclosure": {
                        "u5BIndividualInternalReviewAnswer": false
                    },
                    "investigationDisclosure": {
                        "u5AIndividualInvestigationAnswer": false
                    },
                    "terminationDisclosure": {
                        "u5F3IndividualTerminationAnswer": false,
                        "u5F1IndividualTerminationAnswer": false,
                        "u5F2IndividualTerminationAnswer": false
                    },
                    "regulatoryActionDisclosure": {
                        "u5DIndividualRegulatoryActionAnswer": false
                    }
                }
            },
            "signatures": {
                "firmAcknowledgement": {
                    "contactPersonName": "Test",
                    "contactPersonNumber": "123,123,1234",
                    "signatureText": "Signature",
                    "signatureDate": "2023-11-11"
                }
            }
        }
    },
    "id": "cf83bcfd-6623-4b80-8740-c8567a96cbe2",
    "group": "registration",
    "name": "u5"
}
U5 full GET call
{
    "filing": {
        "metadata": {
            "resultStatus": "PROCESSED",
            "filingStatus": "SUBMITTED",
            "filingId": "81967347",
            "filingType": "FULL",
            "dateOfBirth": "1938-09-11",
            "individualCrdNumber": 80067413,
            "resultStatusDesc": {
                "message": "Filing processed successfully",
                "errors": []
            },
            "created": {
                "on": "2023-11-30T19:19:02Z",
                "by": "2047288ee2084e9d91e5"
            },
            "updated": {
                "on": "2023-11-30T19:19:02Z",
                "by": "2047288ee2084e9d91e5"
            },
            "submitted": {
                "on": "2023-11-30T19:19:02Z",
                "by": "2047288ee2084e9d91e5"
            }
        },
        "filingData": {
            "individualInformation": {
                "currentResidentialAddress": [
                    {
                        "address": {
                            "cityName": "Rockville",
                            "countryCode": "USA",
                            "postalCode": "0850",
                            "addressLine1": "123 Main st",
                            "stateCode": "MD"
                        },
                        "addressStartDate": "1978-09",
                        "id": "b4c4ec07-708c-48a3-8037-df782ffc3b1f"
                    }
                ],
                "personalInformation": {
                    "individualFilingName": {
                        "firstName": "Testing",
                        "lastName": "Testing",
                        "middleName": "Testing",
                        "suffix": "JR"
                    }
                },
                "individualCrdNumber": 80067413
            },
            "drpCustomerComplaint": {
                "200905": [],
                "200510": []
            },
            "drpRegulatoryAction": {
                "200905": [],
                "200510": []
            },
            "firmAssociations": {
                "affiliatedFirmAssociation": [],
                "filingFirmAssociation": {
                    "registrations": [],
                    "firmProfile": {
                        "firmBillingCode": "12345",
                        "firmName": "Firm Name",
                        "firmCrdNumber": 12345,
                        "id": "e48e4722-be1f-46de-9de4-d2018fd75bb8"
                    },
                    "officeLocations": [
                        {
                            "iaMainOfficeIndicator": false,
                            "address": {
                                "cityName": "Rockville",
                                "countryCode": "USA",
                                "postalCode": "0850",
                                "addressLine1": "123 Main st",
                                "addressLine2": "STE 2A",
                                "stateCode": "MD"
                            },
                            "privateResidenceFlag": false,
                            "isRegisteredLocation": true,
                            "id": "ba114bed-5092-482b-bc86-87d5aee928c7",
                            "baseline": true,
                            "branchCrdNumber": 12345,
                            "employmentLocationStartDate": "2018-06-25",
                            "branchFirmBillingCode": "12345",
                            "employmentLocationAssociationIdentifier": 200144175,
                            "officeLocationType": "Located At",
                            "bdMainOfficeIndicator": false
                        }
                    ],
                    "id": "5a87feb6-6229-40d5-9e32-a4e45ba8ae1e",
                    "jurisdictionRegistrations": []
                }
            },
            "drpCriminal": {
                "200905": [],
                "200510": []
            },
            "disclosureQuestions": {
                "formU5DisclosureQuestionAnswer": {
                    "criminalDisclosure": {
                        "u5C3IndividualCriminalAnswer": false,
                        "u5C1IndividualCriminalAnswer": false,
                        "u5C4IndividualCriminalAnswer": false,
                        "u5C2IndividualCriminalAnswer": false
                    },
                    "disclosureCertification": false,
                    "customerComplaintDisclosure": {
                        "u5E1bIndividualCustomerComplaintAnswer": false,
                        "u5E3bIndividualCustomerComplaintAnswer": false,
                        "u5E1aIndividualCustomerComplaintAnswer": false,
                        "u5E3aIndividualCustomerComplaintAnswer": false,
                        "u5E1dIndividualCustomerComplaintAnswer": false,
                        "u5E1cIndividualCustomerComplaintAnswer": false,
                        "u5E4aIndividualCustomerComplaintAnswer": false,
                        "u5E2bIndividualCustomerComplaintAnswer": false,
                        "u5E4bIndividualCustomerComplaintAnswer": false,
                        "u5E2aIndividualCustomerComplaintAnswer": false,
                        "u5E5aIndividualCustomerComplaintAnswer": false,
                        "u5E5bIndividualCustomerComplaintAnswer": false
                    },
                    "internalReviewDisclosure": {
                        "u5BIndividualInternalReviewAnswer": false
                    },
                    "investigationDisclosure": {
                        "u5AIndividualInvestigationAnswer": false
                    },
                    "terminationDisclosure": {
                        "u5F3IndividualTerminationAnswer": false,
                        "u5F1IndividualTerminationAnswer": false,
                        "u5F2IndividualTerminationAnswer": false
                    },
                    "regulatoryActionDisclosure": {
                        "u5DIndividualRegulatoryActionAnswer": false
                    }
                }
            },
            "terminationDetails": {
                "fullTerminationDetails": {
                    "explanationText": "Testing",
                    "flag": true,
                    "reasonTypeCode": "RESIGNED"
                },
                "terminationDateDetails": {
                    "date": "2023-12-31"
                }
            },
            "signatures": {
                "firmAcknowledgement": {
                    "contactPersonName": "Test",
                    "signatureDate": "2023-11-11",
                    "contactPersonNumber": "123,123,1234",
                    "signatureText": "Signature"
                }
            }
        }
    },
    "group": "registration",
    "name": "u5",
    "id": "cf83bcfd-6623-4b80-8740-c8567a96cbe2"
}

POST v1/submissions/filings/{group}/{name} - Partial Termination for a particular SRO

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u5

Sample Request Payload

{
      "filing": {
        "metadata": {
          "individualCrdNumber": 80067416,
          "filingType": "partial",
          "filingStatus": "submitted",
          "dateOfBirth": "1938-09-11"
        },
        "operations": [
          {
            "op": "add",
            "path": "/firmAssociations/filingFirmAssociation/registrations/-",
            "value": {
              "registrationCategoryCode": "GS",
              "regulatorIdentifier": 1
            }
          },
          {
            "op": "add",
            "path": "/signatures",
            "value": {
              "firmAcknowledgement": {
                "contactPersonName": "Test",
                "contactPersonNumber": "123,123,1234",
                "signatureText": "Signature",
                "signatureDate": "2023-11-11"
              }
            }
          }
        ]
      }
    }

Sample Response


{
  "filing": {
    "metadata": {
      "individualCrdNumber": 80067416,
      "filingType": "partial",
      "filingStatus": "submitted",
      "dateOfBirth": "1938-09-11",
      "updated": {
        "on": "2023-12-04T16:14:27Z",
        "by": "2047288ee2084e9d91e5"
      },
      "created": {
        "on": "2023-12-04T16:14:27Z",
        "by": "2047288ee2084e9d91e5"
      },
      "submitted": {
        "on": "2023-12-04T16:14:27Z",
        "by": "2047288ee2084e9d91e5"
      }
    },
    "operations": [
      {
        "op": "add",
        "path": "/firmAssociations/filingFirmAssociation/registrations/-",
        "value": {
          "registrationCategoryCode": "GS",
          "regulatorIdentifier": 1
        }
      },
      {
        "op": "add",
        "path": "/signatures",
        "value": {
          "firmAcknowledgement": {
            "contactPersonName": "Test",
            "contactPersonNumber": "123,123,1234",
            "signatureText": "Signature",
            "signatureDate": "2023-11-11"
          }
        }
      }
    ]
  },
  "id": "385eaba0-8eaa-472b-a4df-4db00c2f2a15",
  "group": "registration",
  "name": "u5"
}

POST v1/submissions/filings/{group}/{name} - Partial Termination for a particular State

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u5

Sample Request Payload

{
  "filing": {
    "metadata": {
      "individualCrdNumber": 80067416,
      "filingType": "partial",
      "filingStatus": "submitted",
      "dateOfBirth": "1938-09-11"
    },
    "operations": [
      {
        "op": "add",
        "path": "/firmAssociations/filingFirmAssociation/jurisdictionRegistrations/-",
        "value": {
          "registrationCategoryCode": "AG",
          "regulatorIdentifier": 50015
        }
      },
      {
        "op": "add",
        "path": "/signatures",
        "value": {
          "firmAcknowledgement": {
            "contactPersonName": "Test",
            "contactPersonNumber": "123,123,1234",
            "signatureText": "Signature",
            "signatureDate": "2023-11-11"
          }
        }
      }
    ]
  }
}

Sample Response


    {
  "filing": {
    "metadata": {
      "individualCrdNumber": 80067416,
      "filingType": "partial",
      "filingStatus": "submitted",
      "dateOfBirth": "1938-09-11",
      "updated": {
        "on": "2023-12-04T16:19:06Z",
        "by": "2047288ee2084e9d91e5"
      },
      "created": {
        "on": "2023-12-04T16:19:06Z",
        "by": "2047288ee2084e9d91e5"
      },
      "submitted": {
        "on": "2023-12-04T16:19:06Z",
        "by": "2047288ee2084e9d91e5"
      }
    },
    "operations": [
      {
        "op": "add",
        "path": "/firmAssociations/filingFirmAssociation/jurisdictionRegistrations/-",
        "value": {
          "registrationCategoryCode": "AG",
          "regulatorIdentifier": 50015
        }
      },
      {
        "op": "add",
        "path": "/signatures",
        "value": {
          "firmAcknowledgement": {
            "contactPersonName": "Test",
            "contactPersonNumber": "123,123,1234",
            "signatureText": "Signature",
            "signatureDate": "2023-11-11"
          }
        }
      }
    ]
  },
  "id": "a0ab42f5-61ee-4741-9c65-feb3b377c631",
  "group": "registration",
  "name": "u5"
}

POST v1/submissions/filings/{group}/{name} - Amendment with address change

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u5

Sample Request Payload

{
  "filing": {
    "metadata": {
      "individualCrdNumber": 80067341,
      "filingType": "amendment",
      "filingStatus": "submitted",
      "dateOfBirth": "1938-09-11"
    },
    "operations": [
      {
        "op": "add",
        "path": "/individualInformation/currentResidentialAddress/-",
        "value": {
          "address": {
            "cityName": "PHILADELPHIA",
            "countryCode": "USA",
            "postalCode": "19139",
            "addressLine1": "4500 WALNUT ST",
            "stateCode": "PA"
          },
          "addressStartDate": "1988-09"
        }
      },
      {
        "op": "add",
        "path": "/signatures",
        "value": {
          "firmAcknowledgement": {
            "contactPersonName": "Test",
            "contactPersonNumber": "123,123,1234",
            "signatureText": "Signature",
            "signatureDate": "2023-11-11"
          }
        }
      }
    ]
  }
}

Sample Response


    {
  "filing": {
    "metadata": {
      "individualCrdNumber": 80067341,
      "filingType": "amendment",
      "filingStatus": "submitted",
      "dateOfBirth": "1938-09-11",
      "updated": {
        "on": "2023-11-27T19:23:40Z",
        "by": "2047288ee2084e9d91e5"
      },
      "created": {
        "on": "2023-11-27T19:23:40Z",
        "by": "2047288ee2084e9d91e5"
      },
      "submitted": {
        "on": "2023-11-27T19:23:40Z",
        "by": "2047288ee2084e9d91e5"
      }
    },
    "operations": [
      {
        "op": "add",
        "path": "/individualInformation/currentResidentialAddress/-",
        "value": {
          "address": {
            "cityName": "PHILADELPHIA",
            "countryCode": "USA",
            "postalCode": "19139",
            "addressLine1": "4500 WALNUT ST",
            "stateCode": "PA"
          },
          "addressStartDate": "1988-09"
        }
      },
      {
        "op": "add",
        "path": "/signatures",
        "value": {
          "firmAcknowledgement": {
            "contactPersonName": "Test",
            "contactPersonNumber": "123,123,1234",
            "signatureText": "Signature",
            "signatureDate": "2023-11-11"
          }
        }
      }
    ]
  },
  "id": "402de54b-2e8f-442d-8532-16d3cd37a16d",
  "group": "registration",
  "name": "u5"
}

POST v1/submissions/filings/{group}/{name} - Full Termination using operation

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u5

Sample Request Payload

{
  "filing": {
    "metadata": {
      "individualCrdNumber": 4030,
      "filingType": "full",
      "filingStatus": "submitted",
      "dateOfBirth": "1922-09-19"
    },
    "operations": [
      {
        "op": "add",
        "path": "/disclosureQuestions",
        "value": {
          "formU5DisclosureQuestionAnswer": {
            "criminalDisclosure": {
              "u5C3IndividualCriminalAnswer": false,
              "u5C1IndividualCriminalAnswer": false,
              "u5C4IndividualCriminalAnswer": false,
              "u5C2IndividualCriminalAnswer": false
            },
            "customerComplaintDisclosure": {
              "u5E1bIndividualCustomerComplaintAnswer": false,
              "u5E3bIndividualCustomerComplaintAnswer": false,
              "u5E1aIndividualCustomerComplaintAnswer": false,
              "u5E3aIndividualCustomerComplaintAnswer": false,
              "u5E1dIndividualCustomerComplaintAnswer": false,
              "u5E1cIndividualCustomerComplaintAnswer": false,
              "u5E4aIndividualCustomerComplaintAnswer": false,
              "u5E2bIndividualCustomerComplaintAnswer": false,
              "u5E4bIndividualCustomerComplaintAnswer": false,
              "u5E2aIndividualCustomerComplaintAnswer": false,
              "u5E5aIndividualCustomerComplaintAnswer": false,
              "u5E5bIndividualCustomerComplaintAnswer": false
            },
            "internalReviewDisclosure": {
              "u5BIndividualInternalReviewAnswer": false
            },
            "investigationDisclosure": {
              "u5AIndividualInvestigationAnswer": false
            },
            "terminationDisclosure": {
              "u5F3IndividualTerminationAnswer": false,
              "u5F1IndividualTerminationAnswer": false,
              "u5F2IndividualTerminationAnswer": false
            },
            "regulatoryActionDisclosure": {
              "u5DIndividualRegulatoryActionAnswer": false
            }
          }
        }
      },
      {
        "op": "add",
        "path": "/terminationDetails/fullTerminationDetails/reasonTypeCode",
        "value": "VOLUNTARY"
      },
      {
        "op": "add",
        "path": "/terminationDetails/terminationDateDetails",
        "value": {
          "date": "2024-04-15"
        }
      },
      {
        "op": "add",
        "path": "/signatures",
        "value": {
          "firmAcknowledgement": {
            "contactPersonName": "Test Contact",
            "signatureDate": "2024-04-15",
            "contactPersonNumber": "123-123-1234",
            "signatureText": "Test Signatory"
          }
        }
      }
    ]
  }
}

POST v1/submissions/filings/{group}/{name} - Full Termination with Affiliated Firms

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u5

Sample Request Payload

{
  "filing": {
    "metadata": {
      "individualCrdNumber": 4010,
      "filingType": "full",
      "filingStatus": "submitted",
      "dateOfBirth": "1922-09-19"
    },
    "operations": [
      {
        "op": "add",
        "path": "/disclosureQuestions",
        "value": {
          "formU5DisclosureQuestionAnswer": {
            "criminalDisclosure": {
              "u5C3IndividualCriminalAnswer": false,
              "u5C1IndividualCriminalAnswer": false,
              "u5C4IndividualCriminalAnswer": false,
              "u5C2IndividualCriminalAnswer": false
            },
            "customerComplaintDisclosure": {
              "u5E1bIndividualCustomerComplaintAnswer": false,
              "u5E3bIndividualCustomerComplaintAnswer": false,
              "u5E1aIndividualCustomerComplaintAnswer": false,
              "u5E3aIndividualCustomerComplaintAnswer": false,
              "u5E1dIndividualCustomerComplaintAnswer": false,
              "u5E1cIndividualCustomerComplaintAnswer": false,
              "u5E4aIndividualCustomerComplaintAnswer": false,
              "u5E2bIndividualCustomerComplaintAnswer": false,
              "u5E4bIndividualCustomerComplaintAnswer": false,
              "u5E2aIndividualCustomerComplaintAnswer": false,
              "u5E5aIndividualCustomerComplaintAnswer": false,
              "u5E5bIndividualCustomerComplaintAnswer": false
            },
            "internalReviewDisclosure": {
              "u5BIndividualInternalReviewAnswer": false
            },
            "investigationDisclosure": {
              "u5AIndividualInvestigationAnswer": false
            },
            "terminationDisclosure": {
              "u5F3IndividualTerminationAnswer": false,
              "u5F1IndividualTerminationAnswer": false,
              "u5F2IndividualTerminationAnswer": false
            },
            "regulatoryActionDisclosure": {
              "u5DIndividualRegulatoryActionAnswer": false
            }
          }
        }
      },
      {
        "op": "add",
        "path": "/terminationDetails/fullTerminationDetails/reasonTypeCode",
        "value": "VOLUNTARY"
      },
      {
        "op": "add",
        "path": "/terminationDetails/terminationDateDetails",
        "value": {
          "date": "2024-04-15"
        }
      },
      {
        "op": "add",
        "path": "/signatures",
        "value": {
          "firmAcknowledgement": {
            "contactPersonName": "Test Contact",
            "signatureDate": "2024-04-15",
            "contactPersonNumber": "123-123-1234",
            "signatureText": "Test Signatory"
          }
        }
      },
      {
        "op": "add",
        "path": "/firmAssociations/affiliatedFirmFlag",
        "value": true
      },
      {
        "op": "add",
        "path": "/firmAssociations/affiliatedFirmAssociation",
        "value": [
          {
            "firmProfile": {
              "firmBillingCode": "245",
              "firmName": "Affiliate Firm 1.",
              "firmCrdNumber": 563
            },
            "officeLocations": [
              {
                "iaMainOfficeIndicator": false,
                "address": {
                  "cityName": "ROCKVILLE",
                  "countryCode": "USA",
                  "postalCode": "68127",
                  "addressLine1": "123 MAIN STREET",
                  "stateCode": "NE"
                },
                "privateResidenceFlag": false,
                "isRegisteredLocation": true,
                "employmentLocationEndDate": "2010-01-15",
                "baseline": true,
                "branchCrdNumber": 35332,
                "employmentLocationStartDate": "2009-08-20",
                "officeLocationType": "Located At",
                "bdMainOfficeIndicator": false
              },
              {
                "iaMainOfficeIndicator": false,
                "address": {
                  "cityName": "ROCKVILLE",
                  "countryCode": "USA",
                  "postalCode": "68154",
                  "addressLine1": "123 MAIN AVENUE",
                  "stateCode": "MD"
                },
                "privateResidenceFlag": false,
                "isRegisteredLocation": true,
                "baseline": true,
                "branchCrdNumber": 2154,
                "employmentLocationStartDate": "2010-01-15",
                "officeLocationType": "Located At",
                "bdMainOfficeIndicator": false
              }
            ]
          },
          {
            "firmProfile": {
              "firmBillingCode": "245",
              "firmName": "Affiliate Firm 2.",
              "firmCrdNumber": 7800
            },
            "officeLocations": [
              {
                "iaMainOfficeIndicator": false,
                "address": {
                  "cityName": "ROCKVILLE",
                  "countryCode": "USA",
                  "postalCode": "68154",
                  "addressLine1": "123 SMART LN",
                  "stateCode": "MD"
                },
                "privateResidenceFlag": false,
                "isRegisteredLocation": true,
                "employmentLocationEndDate": "2013-06-03",
                "baseline": true,
                "branchCrdNumber": 241117,
                "employmentLocationStartDate": "2010-01-15",
                "officeLocationType": "Located At",
                "bdMainOfficeIndicator": false
              },
              {
                "iaMainOfficeIndicator": false,
                "address": {
                  "cityName": "BELLEVUE",
                  "countryCode": "USA",
                  "postalCode": "68885",
                  "addressLine1": "111 NORTH DR",
                  "stateCode": "WA"
                },
                "privateResidenceFlag": false,
                "isRegisteredLocation": true,
                "employmentLocationEndDate": "2008-01-24",
                "baseline": true,
                "branchCrdNumber": 211187,
                "employmentLocationStartDate": "2006-04-22",
                "officeLocationType": "Located At",
                "bdMainOfficeIndicator": false
              },
              {
                "iaMainOfficeIndicator": false,
                "address": {
                  "cityName": "BELLEVUE",
                  "countryCode": "USA",
                  "postalCode": "68884",
                  "addressLine1": "200 SOUTH AVENUE",
                  "stateCode": "WA"
                },
                "privateResidenceFlag": false,
                "isRegisteredLocation": true,
                "baseline": true,
                "branchCrdNumber": 511155,
                "employmentLocationStartDate": "2013-06-03",
                "officeLocationType": "Located At",
                "bdMainOfficeIndicator": false
              },
              {
                "iaMainOfficeIndicator": false,
                "address": {
                  "cityName": "BELLVUE",
                  "countryCode": "USA",
                  "postalCode": "61127",
                  "addressLine1": "123 MAIN STREET",
                  "stateCode": "WA"
                },
                "privateResidenceFlag": false,
                "isRegisteredLocation": true,
                "employmentLocationEndDate": "2010-01-15",
                "baseline": true,
                "branchCrdNumber": 300005,
                "employmentLocationStartDate": "2008-01-24",
                "officeLocationType": "Located At",
                "bdMainOfficeIndicator": false
              }
            ]
          }
        ]
      }
    ]
  }
}

POST v1/submissions/filings/{group}/{name} - Partial Post-dated Termination

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u5

Sample Request Payload using "id"

{
      "filing": {
        "metadata": {
          "individualCrdNumber": 877841,
          "filingType": "partial",
          "filingStatus": "submitted",
          "dateOfBirth": "1988-09-11"
        },
        "operations": [
          {
            "op": "add",
            "path": "/firmAssociations/filingFirmAssociation/registrations/-",
            "value": {
              "registrationCategoryCode": "GS",
              "regulatorIdentifier": 1
            }
          },
         {
                "op": "add",
                "path": "/terminationDetails/fullTerminationDetails",
                "value":
                {
                 "flag": false
                }
            },
            {
                "op": "add",
                "path": "/terminationDetails/terminationDateDetails",
                "value": {
                    "date": "2024-12-31"
                }
            },
          {
            "op": "add",
            "path": "/signatures",
            "value": {
              "firmAcknowledgement": {
                "contactPersonName": "Test",
                "contactPersonNumber": "123,123,1234",
                "signatureText": "Signature",
                "signatureDate": "2023-11-11"
              }
            }
          }
        ]
      }
    }

POST v1/submissions/filings/{group}/{name} - Full Post-dated Termination

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u5

Sample Request Payload using "id"

{
   "filing":{
      "metadata":{
         "individualCrdNumber":800740,
         "filingType":"full",
         "filingStatus":"submitted",
         "dateOfBirth":"1938-09-11"
      },
      "operations":[
         {
            "op":"add",
            "path":"/terminationDetails/fullTerminationDetails/reasonTypeCode",
            "value":"VOLUNTARY"
         },
         {
            "op":"add",
            "path":"/terminationDetails/terminationDateDetails",
            "value":{
               "date":"2024-12-31"
            }
         },
         {
            "op":"add",
            "path":"/signatures",
            "value":{
               "firmAcknowledgement":{
                  "contactPersonName":"Test Contact",
                  "signatureDate":"2024-04-15",
                  "contactPersonNumber":"123-123-1234",
                  "signatureText":"Test Signatory"
               }
            }
         },
         {
            "op":"add",
            "path":"/disclosureQuestions",
            "value":{
               "formU5DisclosureQuestionAnswer":{
                  
                  "disclosureCertification":true,
                  
                  "internalReviewDisclosure":{
                     "u5BIndividualInternalReviewAnswer":false
                  },
                  "terminationDisclosure":{
                     "u5F3IndividualTerminationAnswer":false,
                     "u5F1IndividualTerminationAnswer":false,
                     "u5F2IndividualTerminationAnswer":false
                  }
               }
            }
         }
      ]
   }
}

GET v1/submissions/filings/{group}/{name}/{id}

GET U4 with resultStatus = PROCESSED

Sample Request

https://api.finra.org/v1/submissions/filings/registration/u5/cf83bcfd-6623-4b80-8740-c8567a96cbe2

Sample Response Payload

{
  "filing": {
    "metadata": {
      "resultStatus": "PROCESSED",
      "filingStatus": "SUBMITTED",
      "filingId": "81967347",
      "filingType": "FULL",
      "dateOfBirth": "1938-09-11",
      "individualCrdNumber": 80067413,
      "resultStatusDesc": {
        "message": "Filing processed successfully",
        "errors": []
      },
      "created": {
        "on": "2023-11-30T19:19:02Z",
        "by": "2047288ee2084e9d91e5"
      },
      "updated": {
        "on": "2023-11-30T19:19:02Z",
        "by": "2047288ee2084e9d91e5"
      },
      "submitted": {
        "on": "2023-11-30T19:19:02Z",
        "by": "2047288ee2084e9d91e5"
      }
    },
    "filingData": {
      "individualInformation": {
        "currentResidentialAddress": [
          {
            "address": {
              "cityName": "Rockville",
              "countryCode": "USA",
              "postalCode": "0850",
              "addressLine1": "123 Main st",
              "stateCode": "MD"
            },
            "addressStartDate": "1978-09",
            "id": "b4c4ec07-708c-48a3-8037-df782ffc3b1f"
          }
        ],
        "personalInformation": {
          "individualFilingName": {
            "firstName": "Testing",
            "lastName": "Testing",
            "middleName": "Testing",
            "suffix": "JR"
          }
        },
        "individualCrdNumber": 80067413
      },
      "drpCustomerComplaint": {
        "200510": [],
        "200905": []
      },
      "drpRegulatoryAction": {
        "200510": [],
        "200905": []
      },
      "firmAssociations": {
        "affiliatedFirmAssociation": [],
        "filingFirmAssociation": {
          "registrations": [],
          "firmProfile": {
            "firmBillingCode": "12345",
            "firmName": "Firm Name",
            "firmCrdNumber": 12345,
            "id": "e48e4722-be1f-46de-9de4-d2018fd75bb8"
          },
          "officeLocations": [
            {
              "iaMainOfficeIndicator": false,
              "address": {
                "cityName": "Rockville",
                "countryCode": "USA",
                "postalCode": "0850",
                "addressLine1": "123 Main st",
                "addressLine2": "STE 2A",
                "stateCode": "MD"
              },
              "privateResidenceFlag": false,
              "isRegisteredLocation": true,
              "id": "ba114bed-5092-482b-bc86-87d5aee928c7",
              "baseline": true,
              "branchCrdNumber": 12345,
              "employmentLocationStartDate": "2018-06-25",
              "branchFirmBillingCode": "12345",
              "employmentLocationAssociationIdentifier": 200144175,
              "officeLocationType": "Located At",
              "bdMainOfficeIndicator": false
            }
          ],
          "id": "5a87feb6-6229-40d5-9e32-a4e45ba8ae1e",
          "jurisdictionRegistrations": []
        }
      },
      "drpCriminal": {
        "200510": [],
        "200905": []
      },
      "disclosureQuestions": {
        "formU5DisclosureQuestionAnswer": {
          "criminalDisclosure": {
            "u5C3IndividualCriminalAnswer": false,
            "u5C1IndividualCriminalAnswer": false,
            "u5C4IndividualCriminalAnswer": false,
            "u5C2IndividualCriminalAnswer": false
          },
          "disclosureCertification": false,
          "customerComplaintDisclosure": {
            "u5E1bIndividualCustomerComplaintAnswer": false,
            "u5E3bIndividualCustomerComplaintAnswer": false,
            "u5E1aIndividualCustomerComplaintAnswer": false,
            "u5E3aIndividualCustomerComplaintAnswer": false,
            "u5E1dIndividualCustomerComplaintAnswer": false,
            "u5E1cIndividualCustomerComplaintAnswer": false,
            "u5E4aIndividualCustomerComplaintAnswer": false,
            "u5E2bIndividualCustomerComplaintAnswer": false,
            "u5E4bIndividualCustomerComplaintAnswer": false,
            "u5E2aIndividualCustomerComplaintAnswer": false,
            "u5E5aIndividualCustomerComplaintAnswer": false,
            "u5E5bIndividualCustomerComplaintAnswer": false
          },
          "internalReviewDisclosure": {
            "u5BIndividualInternalReviewAnswer": false
          },
          "investigationDisclosure": {
            "u5AIndividualInvestigationAnswer": false
          },
          "terminationDisclosure": {
            "u5F3IndividualTerminationAnswer": false,
            "u5F1IndividualTerminationAnswer": false,
            "u5F2IndividualTerminationAnswer": false
          },
          "regulatoryActionDisclosure": {
            "u5DIndividualRegulatoryActionAnswer": false
          }
        }
      },
      "terminationDetails": {
        "fullTerminationDetails": {
          "explanationText": "Testing",
          "flag": true,
          "reasonTypeCode": "RESIGNED"
        },
        "terminationDateDetails": {
          "date": "2023-12-31"
        }
      },
      "signatures": {
        "firmAcknowledgement": {
          "contactPersonName": "Test",
          "signatureDate": "2023-11-11",
          "contactPersonNumber": "123,123,1234",
          "signatureText": "Signature"
        }
      }
    }
  },
  "group": "registration",
  "name": "u5",
  "id": "cf83bcfd-6623-4b80-8740-c8567a96cbe2"
}

Introduction

Getting Started

Terms of Service

Info for the Firm SAA

API Console Access

Affiliate Program

Info for Other Organizations

Organizations without an FEA

Organizations with an Existing FEA

The API Console

API User Types

Firm User

Organization User

Individual User

API Credential Types

Firm Credential Type

Organization Credential Type

Public Credential Type

Mock Credential Type

Creating an API Credential

Your First Credential

API Password Expiration Reminder

API Platform Basics

Authorization

Example FIP Access Token Request/Response

Request Headers

Response Headers

Platform Usage Limits

Request Throttling

Responsible Use Guidelines

Response Size Limits

Record Limit

Payload Size Limit

Working with Large Datasets

Response Headers

Notes:

Time Zones

Troubleshooting

Example Error Response

Service Availability

Base URL

QA Test Environment

Query API

API Basics

Datasets

Single Record Datasets

Historical Datasets

API Request Types

Synchronous Requests

Asynchronous Requests

Additional Considerations

Sorting Restrictions

Resource Endpoints

GET Metadata

Optional Request Parameters

Request Headers

Sample

GET Partitions

Optional Request Parameters

Sample

GET Data

Optional Request Parameters

Request Headers

Sample

POST Data

Request Payload Parameters

Request Headers

Sample

GET Versions

Optional Request Parameters

Request Headers

Sample

API Explorer

Equity

Terms of Service

Blocks Summary

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

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

Consolidated Short Interest

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