SIFMA Securities Industry DataBank

Available for purchase.

SIFMA Securities Industry DataBank

This service consists of a comprehensive database containing aggregated financial and employment data from the quarterly Financial and Operation Combined Uniform Single (FOCUS) Report filed by all broker-dealers doing a public business in the U.S. provided in Excel spreadsheet format via email. This industry data is aggregated into 16 firm categories including: 10 largest firms, 25 largest firms, regionals, clearing firms, commission introducing firms, etc. Until now data for the entire industry were available only on an annual basis with over a one-year time lag in the SEC’s annual report.

Data provided in the Securities Industry DataBank can assist securities analysts, brokerage house senior management, and government officials in analyzing and tracking trends in the financial performance of the entire U.S. securities industry.

The most current SIFMA Securities Industry DataBank available is 2018:Q1.

Quarterly Income Statement and Balance Sheet Data

The spreadsheet contains quarterly income statements and balance sheets information of both NYSE- and non-NYSE-reporting firms and is available by subscription only.

The member subscription rate is $5,000 per year for Securities Industry and Financial Markets Association or National Association of Securities Dealers member organizations and $7,500 for non-members. Subscription includes quarterly and annual income statements, select balance sheet data, number of firms and employment for each of the 16 broker-dealer categories, provided quarterly via email in Excel spreadsheet format (sample is available at the top of the page). Note: no individual firm data provided, only aggregates per category; no lists of firm names are available.

Previous-years sets are also available for purchase at reduced prices:

  • 1 or 2 years prior to current year: $1,000 for members and $2,000 for non-members per year
  • 3, 4, or 5 years prior to current year: $500 for members and $1,000 for non-members per year
  • 6 or more years prior to current year: $300 for members and $600 for non-members per year

For a list of line items available in the spreadsheet as well as full list of broker-dealer categories, see the sample file at the top of the page.

Securities Industry DataBank (1980-2008)

Prior to 2009, the Securities Industry DataBank was split into two data sets: the DataBank, which captured the aggregated financial and employment data filed by all NYSE-reporting broker-dealers; and Expanded DataBank (available 2001-2008), which included financial and employment data filed by more than 4,800 NASD-reporting broker-dealers. Both DataBank (1980-2008) and Expanded DataBank (2001-2008) are available for purchase.

Ordering and Contact Info

To place an order or for more information, please contact Research by email or call Justyna Podziemska at (212) 313-1270.