Broker dealers
Convenient access to audited annual reports for over 8,000 current broker dealers.
The Ideagen Audit Analytics broker dealer database provides access to all audited annual reports submitted to the SEC since 2001.
Module
OIA – Financial services
Source
x-17a-5
COVERAGE
SEC registered broker dealers
Data Since
2001
Updated
Daily
Availability
Online • Data Feed • Excel • WRDS

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)
Documentation