In response to theOpen Government Initiativerequiring each agency to identify and publish online high-value data, the Securities and Exchange Commission is making available the following data sets.
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Company Information About Active Broker-Dealers
This text file contains the Central Index Key (CIK) numbers, company names, SEC reporting file numbers, and addresses (business addresses are provided when mailing addresses are not available) of active broker-dealers who are registered with the SEC.
Information About Registered Municipal Advisors
This Excel spreadsheet file contains the names of SEC registered municipal advisor firms (including sole proprietorships), as well as their SEC reporting file numbers and Central Index Key (CIK) numbers.
Log files published by the Office of FOIA Services.
The data sets provide the text and detailed numeric information in all financial statements and their notes extracted from exhibits to corporate financial reports filed with the Commission using eXtensible Business Reporting Language (XBRL).
This text file contains the date, CUSIP numbers, ticker symbols, issuer name, price, and total number of fails-to-deliver (i.e., the balance level outstanding) recorded in the National Securities Clearing Corporations (NSCC) Continuous Net Settlement (CNS) system aggregated over all NSCC members.
The SEC receives submissions from alternative trading systems on an ongoing basis pursuant to Regulation ATS. We note that the list of alternative trading systems changes over time.
The SECs Crowdfunding Offerings Data Sets provide a quarterly look at offerings that rely on the Regulation Crowdfunding exemption.
The data sets below provide selected information extracted from exhibits to corporate financial reports filed with the Commission using eXtensible Business Reporting Language (XBRL).
Mutual Fund Prospectus Risk/Return Summary Data Sets
The Mutual Fund Prospectus Risk/Return Summary Data Sets provides text and numeric information extracted from the risk/return summary section of mutual fund prospectuses.
Information About Registered Investment Advisers and Exempt Reporting Advisers
The Investment Adviser Information Reports data is collected from electronic submissions of Form ADV by investment adviser firms to the Investment Adviser Registration Depository (IARD) system.
This report provides basic identification information for all entities that are organized as Money Market Mutual Funds (MMFs), and that have filed Form N-MFP with the Commission.
These datasets provide metrics for each security type and exchange.
Each zip file contains 36 datasets, which provide the hazard, survivor, and cumulative distribution functions for select time scales for large stocks, mid cap stocks, small stocks, large ETPs, mid cap ETPs, and small ETPs.
These datasets provide metrics for each individual security partitioned by exchange.
These datasets provide metrics partitioned by market capitalization, price, volatility, and turnover. The stock market activity metrics are partitioned by decile and the ETP metrics by quartile.
Each zip file contains 54 datasets: nine each for large stocks, mid cap stocks, small stocks, large ETPs, mid cap ETPs, and small ETPs.
These datasets provide metrics for more than 4,800 securities.
Investment Company Series and Class Information
The Series and Class Report provides basic identification information for all active registered investment company series and classes have been issued IDs by the Commission.
This report provides basic identification information for all entities with an active filing status that are organized as closed-end investment companies (closed-end funds or CEFs).
This report provides basic identification information for all entities with an active filing status that have been issued an 814- reporting number.
The Division of Economic and Risk Analysis (DERA) has assembled information on internet search traffic for EDGAR filings through SEC.gov generally covering the period February 14, 2003 through March 31, 2017.
Commission Votes on Actions Filed in Federal Court From April 8, 2013 through June 12, 2017
These datasets provide spreads and depth partitioned by individual ticker symbol and date for each day in 2013.
SEC Administrative Proceedings for 2009 through 2013
This file contains the respondents, release number, release date, and the url of the notices and orders concerning the institution and/or settlement of administrative proceedings.
Public Company Bankruptcy Cases Opened and Monitored
This file contains a list of the bankruptcy cases for public companies filed under Chapter 11 of the Bankruptcy Code opened and monitored since the fiscal year 2009.
This file contains the respondents, release number, release date, and the url of the litigation releases concerning civil lawsuits brought by the Commission in federal court.
Commission Opinions and Adjudicatory Orders for 2008, 2009 and 2010
This file contains the respondents, release number, release date, and the url of the opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.
Administrative Law Judge Initial Decisions for 2009 and 2010
This file contains the respondents, release number, release date, and the url of the initial decisions issued by administrative law judges that contains findings of fact, legal conclusions, and an order that often contains a sanction.