Frequently Requested FOIA Document: Company Information About Active Broker-Dealers
What You Should Know About the Data File
This ascii 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.
The information in this file is raw data — data that is meant to be used as input to another program. The data items are provided as a "tab delimited" file. Although the file can be viewed in any program that accepts ASCII text (for example, a word processor), the data fields are best viewed when imported into a program that accepts delimited data, such as a spreadsheet. The record layout and maximum field sizes are shown below for those who want to process the data into another form.
|CIK NUMBER||10 characters|
|COMPANY NAME||60 characters|
|REPORTING FILE NUMBER||25 characters|
|STATE CODE||2 characters|
|ZIP CODE||10 characters|
What You Should Know About the Data Itself
To get a copy of the actual Forms BD filed with the SEC, please refer to How to Request Public Documents. In addition, at the SEC's Headquarters, located at 100 F Street, NE Washington, DC 20549-2521 you can visit our Public Reference Room from 10:00 a.m. until 3:00 p.m. to obtain copies of these forms.
For technical questions regarding the website, send an e-mail message to email@example.com. For additional information about the data, call the SEC's Office of Freedom of Information and Privacy Act Operations at (202) 551-8300.
- Current Broker-Dealer information report
Report as of: September 1, 2016