Broker-dealers

FOCUS Reports - Form X-17A-5

POSThttps://api.sec-api.io/form-x-17a-5

Search Form X-17A-5 FOCUS reports, the financial and operational reports broker-dealers and security-based swap dealers file under Rule 17a-5. The dataset holds more than 16,500 filings from January 2016 to present, and new filings are searchable 300 milliseconds after EDGAR publishes them.

Read the guide for this API →

Authentication

Send the API key either as a header or as a query parameter. The header is preferred; the query parameter exists for cases where a header cannot be set, such as opening a URL directly in a browser.

Authorization: required header

The API key on its own. Do not prefix it with Bearer or any other word.

Example Authorization: YOUR_API_KEY

token: optional query parameter

The API key, appended to the URL. Use this only when a header is not possible.

Request body

A JSON object. Content-Type must be application/json.

query: required string

The search expression in Lucene syntax, written as field:value. Every field listed under Searchable fields can be used, combined with AND, OR, NOT, ranges and wildcards.

Example entities.cik:68136

from: string, Maximum 10000

Index of the first result to return, used for pagination. Increment by the value of size to page through results.

Default "0"

size: string, Maximum 50

Number of Form X-17A-5 filings to return in one response.

Default "50"

sort: array of object

Sort order. Each item maps one field to an order object, for example [{ "filedAt": { "order": "desc" } }]. Sorting is supported on filedAt and periodOfReport.

Default [{ "filedAt": { "order": "desc" } }]

order: string

Either asc or desc.

Searchable fields

Every field below can be used inside query. 47 fields are searchable, and they match the structure of the objects returned in the response.

Field	Description
`accessionNo`	Filing accession number
`formType`	Form type — "X-17A-5" or "X-17A-5/A"
`filedAt`	Filing acceptance timestamp (ISO 8601)
`periodOfReport`	Fiscal year end covered by the FOCUS report (YYYY-MM-DD)
`entities.cik`	CIK of the registrant (broker-dealer / SBSD)
`entities.fileNo`	SEC file number (e.g. "008-15869")
`entities.irsNo`	IRS Employer Identification Number (EIN)
`entities.companyName`	Registrant company name (with "(Filer)" suffix as filed)
`entities.fiscalYearEnd`	Fiscal year end as MMDD (e.g. "1231")
`entities.stateOfIncorporation`	Two-letter state code of the registrant
`submissionInformation.periodBegin`	Reporting period start (YYYY-MM-DD)
`submissionInformation.periodEnd`	Reporting period end (YYYY-MM-DD)
`submissionInformation.materialWeakness`	Material weakness flag (Y/N)
`registrantIdentification.brokerDealerName`	Broker-dealer name as filed
`registrantIdentification.contactPersonName`	Filing contact person
`accountantIdentification.accountantName`	Independent public accountant name
`accountantIdentification.accountantType`	Accountant type (e.g. PCAOB-registered)
`id`	System-internal unique identifier of the filing record.
`effectivenessDate`	Date the filing became effective on EDGAR, YYYY-MM-DD. Not reported on older filings.
`entities.type`	Filing type recorded for the entity on this submission, matching formType.
`entities.act`	Act the filing was made under, for example 34 for the Securities Exchange Act of 1934.
`entities.filmNo`	Film number the SEC assigned to this submission, for example 26680556.
`entities.tickers`	Ticker symbols linked to the entity. Rarely present, because most broker-dealer filers are not listed.
`submissionInformation.typeOfRegistrant.typeOfBDRegistrant`	Broker-dealer registrant type, reported as Broker-dealer.
`submissionInformation.typeOfRegistrant.typeOfSDRegistrant`	Security-based swap dealer registrant type, reported as Security-based swap dealer.
`submissionInformation.subTypeOfBDRegistrant`	Sub-classification of the broker-dealer registrant, for example OTC derivatives dealer.
`submissionInformation.subTypeOfSDRegistrant`	Sub-classification of the security-based swap dealer registrant, for example Filing pursuant to a Commission substituted compliance order.
`submissionInformation.subTypeOfRegistrant`	Sub-classification used on older filings that do not split the registrant type into broker-dealer and swap dealer fields, for example OTC derivatives dealer.
`submissionInformation.amendmentDescription`	Free text the filer supplies on an X-17A-5/A submission, explaining what the amendment changes.
`registrantIdentification.businessAddress.street1`	First line of the street address.
`registrantIdentification.businessAddress.street2`	Second line of the street address, such as a floor or suite, when one is reported.
`registrantIdentification.businessAddress.city`	City of the address.
`registrantIdentification.businessAddress.stateOrCountry`	Two-letter state or country code of the address, for example NY or X0 for the United Kingdom.
`registrantIdentification.businessAddress.zipCode`	Postal code of the address. Foreign filers report their local postal code here, for example EC4R 3AB.
`registrantIdentification.contactPersonPhoneNumber`	Phone number of the contact person, as filed. The formatting is not normalised.
`accountantIdentification.accountantAddress.street1`	First line of the street address.
`accountantIdentification.accountantAddress.street2`	Second line of the street address, such as a floor or suite, when one is reported.
`accountantIdentification.accountantAddress.city`	City of the address.
`accountantIdentification.accountantAddress.stateOrCountry`	Two-letter state or country code of the address, for example NY or X0 for the United Kingdom.
`accountantIdentification.accountantAddress.zipCode`	Postal code of the address. Foreign filers report their local postal code here, for example EC4R 3AB.
`oathSignature.signPersonName`	Name of the officer who signed the oath.
`oathSignature.signature`	Typed signature captured for the oath, normally matching signPersonName.
`oathSignature.oathTitle`	Title of the signing officer, for example Chief Financial Officer.
`oathSignature.entityName`	Name of the entity the oath is given for.
`oathSignature.signDate`	Date the oath was signed, MM-DD-YYYY, for example 12-31-2025.
`oathSignature.confirmNotarizedFlag`	Flag stating whether the oath was notarised, either Y or N.
`oathSignature.explanation`	Free text the signer adds to the oath, often used to record exceptions or to state that there are none, for example None.

Response

A JSON object. Nested attributes are collapsed; expand one to see its fields.

total: object

How many Form X-17A-5 filings matched the query.

value: integer

Number of matching filings.

relation: string

Either eq, meaning value is exact, or gte, meaning value is a floor.

data: array of object

The matching Form X-17A-5 filings, at most size per response. Every field of a filing object is itself searchable.

id: string

System-internal unique identifier of the filing record.

formType: string

Form type of the submission, either X-17A-5 for an original filing or X-17A-5/A for an amendment.

accessionNo: string

Accession number of the FOCUS report submission on EDGAR, for example 0001193125-26-072285.

filedAt: string

Timestamp EDGAR accepted the FOCUS report, ISO 8601 in Eastern Time, for example 2026-02-25T17:49:07-05:00.

effectivenessDate: optional string

Date the filing became effective on EDGAR, YYYY-MM-DD. Not reported on older filings.

periodOfReport: string

Reporting period covered by the filing, YYYY-MM-DD, for example 2025-12-31.

entities: array of object

Entities associated with the filing, normally the single broker-dealer or security-based swap dealer registrant. A registrant holding both a broker-dealer and a swap dealer file number reports one item per file number.

submissionInformation: object

Submission-level metadata covering the reporting period, the registrant classification, the material weakness flag and any amendment description.

registrantIdentification: object

Identification of the broker-dealer or security-based swap dealer filing the FOCUS report.

accountantIdentification: object

Identification of the independent public accountant whose report accompanies the filing.

oathSignature: optional object

The oath or affirmation an officer of the registrant executes under Rule 17a-5. Absent on some filings, mainly those of security-based swap dealers.

Status codes

`200`	Success. The response holds total and data.
`400`	The request body could not be parsed, the Lucene expression in query is malformed, or size is above 50.
`403`	The API key is missing, or it is not valid.
`429`	Too many requests. Slow the request rate and retry.
`500`	Server error. Retry, and report it if it persists.

Request example

POST https://api.sec-api.io/form-x-17a-5

{
  "query": "entities.cik:68136",
  "from": "0",
  "size": "50",
  "sort": [{ "filedAt": { "order": "desc" } }]
}

from sec_api import FormX17A5Api

formX17A5Api = FormX17A5Api("YOUR_API_KEY")

response = formX17A5Api.get_data({
    "query": "entities.cik:68136",
    "from": "0",
    "size": "50",
    "sort": [{"filedAt": {"order": "desc"}}],
})

import { formX17A5Api } from "sec-api";

formX17A5Api.setApiKey("YOUR_API_KEY");

const response = await formX17A5Api.getData({
  query: "entities.cik:68136",
  from: "0",
  size: "50",
  sort: [{ filedAt: { order: "desc" } }],
});

curl -X POST https://api.sec-api.io/form-x-17a-5 \
  -H "Authorization: YOUR_API_KEY" \
  -H "Content-Type: application/json" \
  -d '{
    "query": "entities.cik:68136",
    "from": "0",
    "size": "50",
    "sort": [{ "filedAt": { "order": "desc" } }]
  }'

Response example

200 OK · application/json

{
  "total": {
    "value": 12,
    "relation": "eq"
  },
  "data": [
    {
      "id": "f34ac089bb47d99b5a1250781635f857",
      "formType": "X-17A-5",
      "accessionNo": "0001193125-26-072285",
      "effectivenessDate": "2026-02-25",
      "filedAt": "2026-02-25T17:49:07-05:00",
      "periodOfReport": "2025-12-31",
      "entities": [
        {
          "companyName": "MORGAN STANLEY & CO. LLC (Filer)",
          "cik": "68136",
          "irsNo": "132655998",
          "stateOfIncorporation": "DE",
          "fiscalYearEnd": "1231",
          "type": "X-17A-5",
          "act": "34",
          "fileNo": "008-15869",
          "filmNo": "26680556"
        }
      ],
      "submissionInformation": {
        "periodBegin": "01-01-2025",
        "periodEnd": "12-31-2025",
        "typeOfRegistrant": {
          "typeOfBDRegistrant": "Broker-dealer"
        },
        "materialWeakness": "N"
      },
      "registrantIdentification": {
        "brokerDealerName": "MORGAN STANLEY & CO. LLC",
        "businessAddress": {
          "street1": "1585 Broadway",
          "city": "New York",
          "stateOrCountry": "NY",
          "zipCode": "10036"
        },
        "contactPersonName": "Gary Lynn",
        "contactPersonPhoneNumber": "212-276-4914"
      },
      "accountantIdentification": {
        "accountantName": "Deloitte & Touche LLP",
        "accountantAddress": {
          "street1": "30 Rockefeller Plaza",
          "city": "New York",
          "stateOrCountry": "NY",
          "zipCode": "10112-0015"
        },
        "accountantType": "Certified Public Accountant"
      },
      "oathSignature": {
        "signPersonName": "Gary Lynn",
        "entityName": "MORGAN STANLEY & CO. LLC",
        "signDate": "12-31-2025",
        "signature": "Gary Lynn",
        "oathTitle": "Chief Financial Officer",
        "confirmNotarizedFlag": "Y"
      }
    }
  ]
}