# FOCUS Reports - Form X-17A-5 API Reference | SEC API

> Complete API reference for the SEC EDGAR Form X-17A-5 FOCUS Report API. Every request parameter, every searchable field and every response attribute, with types, constraints and a live example response.

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

Broker-dealers

POST`https://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 →](https://sec-api.io/docs/form-x-17a-5-focus-report-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.

companyName: string

Legal name of the entity as registered with the SEC, including the EDGAR role suffix, for example MORGAN STANLEY & CO. LLC (Filer).

cik: string

CIK of the entity, leading zeros removed, for example 68136.

irsNo: optional string

IRS Employer Identification Number of the entity, for example 132655998.

stateOfIncorporation: optional string

Two-letter state or country code where the entity is incorporated, for example DE. Absent for many foreign registrants.

fiscalYearEnd: optional string

Fiscal year end of the entity as MMDD, for example 1231 for 31 December.

type: string

Filing type recorded for the entity on this submission, matching formType.

act: string

Act the filing was made under, for example 34 for the Securities Exchange Act of 1934.

fileNo: string

SEC file number of the registrant, for example 008-15869 for a broker-dealer or 026-00171 for a security-based swap dealer.

filmNo: string

Film number the SEC assigned to this submission, for example 26680556.

tickers: optional array of string

Ticker symbols linked to the entity. Rarely present, because most broker-dealer filers are not listed.

submissionInformation: object

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

periodBegin: string

Start of the reporting period, MM-DD-YYYY, for example 01-01-2025.

periodEnd: string

End of the reporting period, MM-DD-YYYY, for example 12-31-2025.

typeOfRegistrant: optional object

Classification of the registrant, split between the broker-dealer and the security-based swap dealer designation. A registrant can carry both. Absent on older filings, which use subTypeOfRegistrant instead.

typeOfBDRegistrant: optional string

Broker-dealer registrant type, reported as Broker-dealer.

typeOfSDRegistrant: optional string

Security-based swap dealer registrant type, reported as Security-based swap dealer.

subTypeOfBDRegistrant: optional string

Sub-classification of the broker-dealer registrant, for example OTC derivatives dealer.

subTypeOfSDRegistrant: optional string

Sub-classification of the security-based swap dealer registrant, for example Filing pursuant to a Commission substituted compliance order.

subTypeOfRegistrant: optional string

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.

materialWeakness: string

Flag stating whether a material weakness was identified, either Y or N.

amendmentDescription: optional string

Free text the filer supplies on an X-17A-5/A submission, explaining what the amendment changes.

registrantIdentification: object

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

brokerDealerName: string

Legal name of the registrant, for example MORGAN STANLEY & CO. LLC.

businessAddress: object

Business address of the registrant.

street1: string

First line of the street address.

street2: optional string

Second line of the street address, such as a floor or suite, when one is reported.

city: string

City of the address.

stateOrCountry: string

Two-letter state or country code of the address, for example NY or X0 for the United Kingdom.

zipCode: string

Postal code of the address. Foreign filers report their local postal code here, for example EC4R 3AB.

contactPersonName: string

Name of the person the registrant names as the contact for the filing.

contactPersonPhoneNumber: string

Phone number of the contact person, as filed. The formatting is not normalised.

accountantIdentification: object

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

accountantName: string

Name of the accountant or audit firm, for example Deloitte & Touche LLP.

accountantAddress: object

Office address of the accountant.

street1: string

First line of the street address.

street2: optional string

Second line of the street address, such as a floor or suite, when one is reported.

city: string

City of the address.

stateOrCountry: string

Two-letter state or country code of the address, for example NY or X0 for the United Kingdom.

zipCode: string

Postal code of the address. Foreign filers report their local postal code here, for example EC4R 3AB.

accountantType: string

Classification of the accountant, either Certified Public Accountant or Certified Public Accountant not resident in United States or any of its possessions.

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.

signPersonName: string

Name of the officer who signed the oath.

signature: string

Typed signature captured for the oath, normally matching signPersonName.

oathTitle: string

Title of the signing officer, for example Chief Financial Officer.

entityName: string

Name of the entity the oath is given for.

signDate: string

Date the oath was signed, MM-DD-YYYY, for example 12-31-2025.

confirmNotarizedFlag: optional string

Flag stating whether the oath was notarised, either Y or N.

explanation: optional string

Free text the signer adds to the oath, often used to record exceptions or to state that there are none, for example None.

## 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

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

```python
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"}}],
})
```

```javascript
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" } }],
});
```

```bash
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

```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"
      }
    }
  ]
}
```