# SEC and Market Data

In response to the Open Government Initiative requiring each agency to identify and publish online high-value data, the Securities and Exchange Commission is making available the following data sets.

- Information About Registered Investment Advisers and Exempt Reporting Advisers The Investment Adviser Information Reports' data is collected from electronic submissions of Form ADV by investment adviser firms to the Investment Adviser Registration Depository (IARD) system.
- 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 Central Index Key (CIK) numbers.
- 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 not available) of active broker-dealers who are registered with the SEC.
- Form D Data Sets The data sets contains Notices of Exempt Offerings of Securities filed with the Commission by issuers relying on Rule 504, Rule 506(b), or Rule 506(c) of Regulation D or on Section 4(a)(5) of Securities Act.
- Regulation A Data Sets The data sets provide the structured data from securities offerings pursuant to Regulation A filed with the Commission.
- Form N-CEN Data Sets Form N-CEN is used by all registered investment companies, other than face-amount certificate companies to file annual reports with the Commission.  The Form N-CEN data sets are extracted from N-CEN eXtensible Markup Language (XML) submissions in a flat file format to assist users in constructing the data for analysis.  The data have been automatically and directly taken from submissions created by the registrants and provided as-filed.
- Crowdfunding Offerings Data Sets The SEC’s Crowdfunding Offerings Data Sets provide a quarterly look at offerings that rely on the Regulation Crowdfunding exemption.
- Form N-MFP Data Sets Form N-MFP is used for monthly reports of money market funds to report information about the fund and its portfolio holdings for the preceding month.  Form N-MFP is filed with the Commission by the fifth business day of the month.  The Form N-MFP data sets are extracted from Electronic Data Gathering, Analysis, and Retrieval (EDGAR) eXtensible Markup Language (XML) submissions in a flat file format to assist users in constructing the data for analysis.  The data has been automatically and directly taken from submissions created by the registrants and provided as-filed.
- FOIA Logs Log files published by the Office of FOIA Services.
- 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 National Securities Clearing Corporation's ("NSCC") Continuous Net Settlement (CNS) system aggregated over all NSCC members.
- Form 13F Data Sets Form 13F was adopted pursuant to statutory directive designed to provide the Commission with data from larger managers about their investment activities and holdings.
- 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 time.
- Financial Statement and Notes Data Sets The data sets provide the text and detailed numeric information in all financial statements and their notes extracted from exhibits to corporate financial reports filed with the Commission using eXtensible Business Reporting Language (XBRL).
- Money Market Fund Information This report provides basic identification information for all entities that are organized as Money Market Mutual Funds (MMFs), and that have filed Form N-MFP with the Commission.
- Cooperative Arrangements with U.S. Regulators Information sharing arrangements to facilitate regulatory and supervisory cooperation with domestic regulators.
- Summary Metrics by Decile and Quartile These datasets provide metrics partitioned by market capitalization, price, volatility, and turnover. The stock market activity metrics are partitioned by decile and the ETP metrics by quartile.
- Summary Metrics by Exchange These datasets provide metrics for each security type and exchange.
- Conditional Cancel and Trade Distributions Each zip file contains 54 datasets: nine each for large stocks, mid cap stocks, small stocks, large ETPs, mid cap ETPs, and small ETPs.
- Metrics by Individual Security These datasets provide metrics for more than 4,800 securities.
- Hazards and Survivors by Time Period Each zip file contains 36 datasets, which provide the hazard, survivor, and cumulative distribution functions for select time scales for large stocks, mid cap stocks, small stocks, large ETPs, mid cap ETPs, and small ETPs.
- Metrics by Individual Security and Exchange These datasets provide metrics for each individual security partitioned by exchange.
- Number of EDGAR Filings by Form Type EDGAR Filings by Form Type details
- Financial Statement Data Sets The data sets below provide selected information extracted from exhibits to corporate financial reports filed with the Commission using eXtensible Business Reporting Language (XBRL).
- Mutual Fund Prospectus Risk/Return Summary Data Sets The Mutual Fund Prospectus Risk/Return Summary Data Sets provides text and numeric information extracted from the risk/return summary section of mutual fund prospectuses.
- Insider Transactions Data Sets Under Section 16 of the Securities Exchange Act of 1934, senior executives, directors, and large-block shareholders are required to make ongoing filings about their company stock holdings to report any changes. These filings are made on Form 3, Form 4, and Form 5 and submitted to SECs Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.