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Broker Dealers

Convenient access to audited annual reports for over 8,000 current Broker Dealers

Demo Product
The Audit Analytics Broker Dealer database provides access to all audited annual reports submitted to the SEC since 2001.

  • Know who audits broker dealers
  • Benchmark broker dealers by total asset value
  • Identify broker dealer parent relationships
  • Features normalized data extracted from FOCUS Reports filed with FINRA
  • Key data points include auditor, affirmation information, total assets, and contacts

Rule: Exchange Act of 1934 Rule 17a-10(a)(1)

Module OIA Financial
Source x-17a-5
Coverage SEC Registered Broker Dealers
Data Since 2001
Updated Daily
Availability Online • Data Feed • Excel • WRDS
Documentation
OIA Financial
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Email Alerts
Receive an email alert when we analyze a Broker Dealer change filed by your specified company(ies) of interest