Browse Data Catalog

Report cards are created for firms to monitor timeliness of Corporate Financing filings. These report cards display statistics about late filings submitted to Corporate Financing.

The Cross-Market Equities Supervision Manipulation Reports provide firms feedback on exceptions that were generated based on firms' order entries and trading activities in a given surveillance period. These reports are designed to assist firms with monitoring their supervision for trading behaviors that may be designed to manipulate the market.

FINRA disciplinary actions taken against firms and individuals for violations that were issued 2005 or later and are eligible for publication pursuant to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information). Results will also include opinions issued by the SEC and federal appellate courts that relate to FINRA disciplinary actions that have been appealed.

Reports cards published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.

Investors can file an arbitration claim or request mediation through FINRA when they have a dispute involving the business activities of a brokerage firm or one if its brokers.  FINRA publishes aggregate statistics on dispute resolution including data on  hearings, cases, controversy types, security types, results, awards and more. 

The Equities and Options screens offer information for Exchange Traded as well as Over-The-Counter (OTC) Traded Equities.

Equity Report cards created to help firms track their compliance with key equity trading rules related to OATS, Best Execution Outside-of-the-Inside, Market Order Timeliness, Trade Reporting and Reg NMS trade throughs.

FINRA publishes the short interest reports it collects from member firms for all exchange-listed and over-the-counter equity securities. 

The Financial Industry Networking Directory (FIND)™ is a new FINRA service that looks to connect individuals with financial services firms that are recruiting for full-time employment and internship positions. Learn more below about how you can join and benefit from FIND.

FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.