U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

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.

Field Name

Maximum Size

CIK NUMBER10 characters
COMPANY NAME60 characters
REPORTING FILE NUMBER  25 characters
ADDRESS140 characters
ADDRESS240 characters
CITY30 characters
STATE CODE2 characters
ZIP CODE10 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 webmaster@sec.gov. For additional information about the data, call the SEC's Office of Freedom of Information and Privacy Act Operations at (202) 551-8300.

Historical Archive of FOIA Broker-Dealer Company Information Reports

 

http://www.sec.gov/foia/docs/bdfoia.htm

Modified: 03/03/2014