About Registration
The Registration API provides access to the registration records of broker-dealer firms and their associated individuals and branches.
Registered individual information collected through Form U4 and Form U5.
Branch office registration information collected via Form BR.
Available Datasets
The API platform utilizes the concept of datasets to deliver a variety of data via the Data Out API endpoints.
Registered Individuals
Basic information about all individuals currently and formerly employed by a firm.
Branch Associated Individuals
Breakdown of registered individuals associated with each branch of a firm.
Continuing Education
Continuing education status information for registered individuals.
Deficiencies
Registration deficiency information for registered individuals including regulator identification.
Disclosure
Disclosure information for registered individuals including disclosure type.
Employments
List of employment records for registered individuals including detailed firm information and termination reason.
Qualification Exams
Detailed information about the examination status of a registered individual.
Professional Designations
Detailed professional designation information for a registered individual..
Registrations
Details of all registrations held by a registered individual.
Residential Locations
Home address information for registered individuals.
Branch Office Summary
Summary information about each branch associated with a firm.
Branch Office Details
Detailed information about each branch associated with a firm.
Branch Office Locations
Location information for each branch associated with a firm.
Branch Office Financial Activities
Financial activities conducted at each branch associated with a firm.
Frequently Asked Questions
Will I be able to access the registration records of individuals not associated with my firm?
The registration API allows you to only see data associated with your firm.
If an API providing inter-firm individual data is an important use case for your firm, or for your customers that are FINRA member firms, we encourage you to submit feedback via the Support Center and select the API Candidate category for the ticket. Please provide as much detailed information on the use case as possible, including contact information, as this will help us prioritize new API candidates.
FINRA is also exploring the opportunity to provide a Pre-Registration API to address use cases around automated onboarding of registered representatives.
What are the requirements to get access to production registration data?
In order to access the production Registration API, API users will need to go through the production provisioning process defined here.As part of this process FINRA will verify that you are a FINRA member firm with an active WebEFT subscription. Contact the WebEFT team at: [email protected] for more information or to verify your subscription.
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