Broker-Dealer & Stockbroker Data (Under Construction)

Crosswalk Files

  • SEC CIK 10-digit to FINRA CRD

Broker-Dealer Financial Data

  • Form X-17A-5 data (Compiled for sample firms over 2001-2018. Raw data available upon request)

Data Sources

  • Central Registration Depository (CRD), maintained by the Financial Industry Regulation Authority (FINRA)

  • Background Affiliation Status Information Center (BASIC), from the National Futures Association (NFA)

  • Investment Adviser Public Disclosure (IAPD), Securities and Exchange Commission (SEC)

  • Electronic Data Gathering, Analysis, and Retrieval (EDGAR), Securities and Exchange Commission (SEC)

Data Use Policy

I kindly ask data users to cite Pedro Tremacoldi-Rossi. “Automation Adoption and Financial Regulation: Evidence from Stock Trading Firms and Workers”. Working paper, 2021