Federal data guide
Financial & Market Regulation Data
A guide to the federal datasets behind US financial and market regulation — the securities filings every public company makes, the call reports and enforcement records behind every bank, the broker and derivatives data, and the cross-dataset analyses that join them. Each links to a full deep-dive.
Financial regulation in the United States is split across a dozen agencies, and each leaves a public data trail. The SEC runs corporate disclosure through EDGAR; the FDIC, OCC, Federal Reserve, and NCUA supervise the banking system and publish their enforcement; FINRA registers the brokers; and the CFTC oversees derivatives. Read together, these datasets let you follow a company from registration to enforcement, watch a bank deteriorate quarter by quarter before it fails, and connect money to influence. The guides below group the deep-dives by regulator and point to the synthesis pieces that join them.
Securities disclosure & enforcement (SEC)
The EDGAR filing system and the SEC’s two enforcement forums.
- SEC EDGAR Company Registry — the CIK index that resolves every public company
- SEC 8-K Filings — every material corporate event, as filed
- SEC 13F Institutional Holdings — what the big money owns, quarter by quarter
- SEC Form D — private securities offerings under Regulation D
- SEC Comment Letters — how disclosure gets enforced between formal cases
- SEC Litigation Releases — enforcement cases filed in federal court
- SEC Administrative Proceedings — the SEC’s in-house enforcement forum
Banking regulators (FDIC, OCC, Fed, NCUA)
The supervisors of banks and credit unions — financials, failures, and enforcement.
- FDIC Institutions — every US bank, active and historical
- FDIC Call Reports — the quarterly financials behind every bank’s balance sheet
- FDIC Bank Failures — every US bank that has failed since 1934
- FDIC Enforcement Actions — orders against banks and bankers
- OCC Enforcement — actions against national banks
- Federal Reserve Enforcement — actions against bank holding companies
- NCUA Enforcement — actions against credit unions
Brokers & derivatives (FINRA, CFTC)
Who sells securities and who trades the futures markets.
- FINRA BrokerCheck Firms — the registry of every US broker-dealer
- CFTC Enforcement — commodities and derivatives enforcement
- CFTC Commitments of Traders — weekly futures-market positioning
Cross-dataset analyses
Synthesis guides that join several of the datasets above.
- The Corporate Securities Lifecycle — one company across EDGAR, joined on the CIK
- The Anatomy of a Bank Failure — reading the call reports before a bank goes under
- Following the Money — joining campaign finance, lobbying, and federal spending
More guides at Federal data guides, or browse all writing and the full dataset catalog.