How to Work With FINRA Data

Our goal in creating FINRA Data is to make it easier to discover and interact with the variety of data FINRA makes available to investors, financial professionals, firms, media, and academics. Browse available data sets by access type, category, and fee structure. Details on data licensing, access, format, and sources can be found on the individual data pages.

Access Type

  • Public FINRA publishes industry data, often in aggregate, in support of market transparency and investor education. Access to certain data sets require you to sign a user agreement with FINRA and many are immediately accessible. 

  • Firm FINRA publishes data, such as industry report cards, for firms. Access to firm data is controlled exclusively by the firm. Contact the account administrator at your firm to request access to firm data.  

  • Financial Professional Financial Professionals can access details about their professional records through FinPro. Identity verification based on the individual credit history is required to access FinPro.  

  • Media Data agreements are made available to members of the media for the use and distribution of industry data. 

  • Academic Certain market data is available to members of institutions of higher learning for research.  

Categories 

  • Investor Data includes data created for the purpose of investor education and data about investor behavior. 

  • Representative Data includes data about broker-dealers and financial professionals, such as the number of registered representatives, industry trends among financial professionals, and disciplinary actions toward individuals. 

  • Firm Data includes industry aggregate data about revenues of firms, how firms market their products and services, and disciplinary actions toward firms.  

  • Corporate Financing includes aggregate statistics and related regulatory actions.  

  • Market Data includes a high-level overview trading activity in the industry and firm-specific report cards on trade reporting. 

  • OTC Equities includes data on the over-the-counter equities market, including new issues, market volume, and trading activity.  

  • Fixed Income includes data on TRACE bonds, Municipal Securities Rulemaking Board (MSRB), and other fixed-income products. 

Fee Structure 

  • No Fee Most of the data FINRA makes available does not require payment or subscriptions. However, it may require the users to enter into licensing and user agreements. Details will be provided on the data page.

  • Subscription Some data FINRA provides, such as real-time bond market data, require subscription fees. Access to these data sets may require working with an authorized vendor. Details will be provided on the data page.