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SEC and Markets Data

As required by the Foundations for Evidence-Based Policymaking Act of 2018, the Securities and Exchange Commission (SEC) publishes information about the Chief Data Officer and SEC data governance materials.

The SEC Data Management Board is the principal internal Commission forum for addressing SEC data management standards, priorities, policies, and practices. The Commission's Chief Data Officer serves as chair of the Board. Membership of the Board, which meets approximately quarterly, includes senior leaders from the SEC's divisions and offices.

Data Management Board Charter

In response to the Open Government Initiative requiring each agency to identify and publish online high-value data, the Securities and Exchange Commission is making available the following data sets.

SEC and Markets Data RSS Feed
Title Category Last Updated
EDGAR Log File Data Sets
The data sets provide information on internet search traffic for EDGAR filings through SEC.gov.
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.
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.
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.
Broker-Dealers
Form D Data Sets
The data sets contains Notices of Exempt Offerings of Securities filed with the Commission by issuers relying on Rule 504, Rule 506(b), or Rule 506(c) of Regulation D or on Section 4(a)(5) of Securities Act.
Regulation A Data Sets
The data sets provide the structured data from securities offerings pursuant to Regulation A filed with the Commission.
Form N-CEN Data Sets
Form N-CEN is used by all registered investment companies, other than face-amount certificate companies to file annual reports with the Commission. The Form N-CEN data sets are extracted from N-CEN eXtensible Markup Language (XML) submissions in a flat file format to assist users in constructing the data for analysis. The data have been automatically and directly taken from submissions created by the registrants and provided as-filed.
Crowdfunding Offerings Data Sets
The SEC’s Crowdfunding Offerings Data Sets provide a quarterly look at offerings that rely on the Regulation Crowdfunding exemption.
Alternative Trading Systems (ATS) Report
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.
Financial Statement and Notes Data Sets
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).
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.
Financial Statement Data Sets
The data sets below provide selected information extracted from exhibits to corporate financial reports filed with the Commission using eXtensible Business Reporting Language (XBRL).
Insider Transactions Data Sets
Under Section 16 of the Securities Exchange Act of 1934, senior executives, directors, and large-block shareholders are required to make ongoing filings about their company stock holdings to report any changes. These filings are made on Form 3, Form 4, and Form 5 and submitted to SECs Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
Fails-to-Deliver Data
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 Corporation's ("NSCC") Continuous Net Settlement (CNS) system aggregated over all NSCC members.
Business Development Company Report
This report provides basic identification information for all entities with an "active" filing status that have been issued an 814- reporting number.
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.
Closed-End Fund Information
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).
Form 13F Data Sets
Form 13F was adopted pursuant to statutory directive designed to provide the Commission with data from larger managers about their investment activities and holdings.
Form N-MFP Data Sets
Form N-MFP is used for monthly reports of money market funds to report information about the fund and its portfolio holdings for the preceding month. Form N-MFP is filed with the Commission by the fifth business day of the month. The Form N-MFP data sets are extracted from Electronic Data Gathering, Analysis, and Retrieval (EDGAR) eXtensible Markup Language (XML) submissions in a flat file format to assist users in constructing the data for analysis. The data has been automatically and directly taken from submissions created by the registrants and provided as-filed.
FOIA Logs
Log files published by the Office of FOIA Services.
Metrics by Individual Security and Exchange
These datasets provide metrics for each individual security partitioned by exchange.
Market Structure
Summary Metrics by Decile and Quartile
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.
Market Structure
Summary Metrics by Exchange
These datasets provide metrics for each security type and exchange.
Market Structure
Conditional Cancel and Trade Distributions
Each zip file contains 54 datasets: nine each for large stocks, mid cap stocks, small stocks, large ETPs, mid cap ETPs, and small ETPs.
Market Structure
Metrics by Individual Security
These datasets provide metrics for more than 4,800 securities.
Market Structure
Hazards and Survivors by Time Period
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.
Market Structure
Number of EDGAR Filings by Form Type
EDGAR Filings by Form Type details
Transfer Agent Data Sets
Transfer Agent details
Money Market Fund Information
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.
Cooperative Arrangements with U.S. Regulators
Information sharing arrangements to facilitate regulatory and supervisory cooperation with domestic regulators.
Crowdfunding Offerings Data Sets Archive
The SEC’s Crowdfunding Offerings Data Sets provide a quarterly look at offerings that rely on the Regulation Crowdfunding exemption.
Commission Votes on Actions Filed in Federal Court From April 8, 2013 through August 6, 2019
Data available in excel format.
Enforcement
Spreads and Depth by Individual Security
These datasets provide spreads and depth partitioned by individual ticker symbol and date for each day in 2013.
Market Structure
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.
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.
SEC Litigation Releases for 2009 and 2010
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.