Broker Dealers Database
Convenient access to audited annual reports for over 8,000 current Broker Dealers
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 FinancialEmail Alerts
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Broker Dealer change filed by your
specified company(ies) of interest