SEC Broker-Dealers

Publisher: US Securities and Exchange Commission Start Date: 2007 End Date: 2022 Record Count: None

Collection: Licenses
Description: The Securities Exchange Act of 1934 requires the registration of brokers and dealers in securities markets. Most brokers and dealers register with the Securities Exchange Commission (SEC) and join a relf-regulatory organization. Brokers are defined as "any person engaged in the business of effecting transactions in securities for the account of others;" while the Act defines dealers as "any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise." The SEC publishes a monthly list of broker-dealers. We have combined every list since March 2007 through March 2022 and kept the most recent appearance of each registrant.
Each record is a broker or dealer registered with the SEC at any point since 2007. The full data files contain all original columns. New columns with normalized data are used for searches. Data processing was done using open-source software and is documented on the Accountability Project GitHub repository.

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Additional Notes: KN 2022-03-31