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

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