Form X-17A-5 API: broker-dealer annual reports (FOCUS)
Broker-dealer annual reports from Form X-17A-5: registrant, period, auditor and material weakness data, plus the audited report PDF.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/x-17a-5?size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/x-17a-5",
params={'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())Overview
Every registered broker-dealer files an annual report on Form X-17A-5 with audited financial statements. The XML cover gives the reporting period, registrant type, the independent accountant and whether a material weakness was found; the audited statements are attached as a PDF.
The X-17A-5 API returns the parsed cover data for each filing and links to the report.
What you get
Built for developers who would rather not parse EDGAR.
Period, registrant type, accountant and material weakness flag.
Link to the financial statements PDF in the filing.
Filter by cik and date.
Endpoints
Authenticate with Authorization: Bearer YOUR_KEY. Responses are JSON.
Broker-dealer annual reports: cover data and the audited report PDF.
Parameters: cik, startDate, endDate
Response fields
The main fields in every result. The raw filing data is always one level down.
| Field | Meaning |
|---|---|
accessionNo, formType, filedAt, cik, companyName | The filing and the broker-dealer. |
data.primary_doc.formData.submissionInformation | periodBegin, periodEnd, typeOfRegistrant, materialWeakness. |
data.primary_doc.formData.registrantIdentification | Name and business address. |
Use cases
- Counterparty due diligence on broker-dealers
- Track material weaknesses across the industry
- Market structure research
Datasets behind this API
The SEC forms this API reads, with live filing counts.
FAQ
When is X-17A-5 filed?
Within 60 days of the broker-dealer's fiscal year end, or longer for smaller firms.
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