-
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... -
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... -
Alternative Trading System (ATS) List
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... -
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... -
Cooperative Arrangements with U.S. Regulators
Information sharing arrangements to facilitate regulatory and supervisory cooperation with domestic regulators.
Official websites use .gov
A
.gov website belongs to an official government
organization in the United States.
Secure .gov websites use HTTPS
A
lock (
) or https:// means you’ve safely connected to
the .gov website. Share sensitive information only on official,
secure websites.