SRO Filings Database API

The SRO Filing Database offers a repository of all SRO-related filings and corresponding SEC rulemaking releases, such as notices, orders, and request for comments. The database is updated daily and includes all filings from 1995 to present, accumulating to over 30,000 documents. The database is accessible via an API that provides search functionality and returns all metadata of published SRO filings and allows to bulk-download all filings and exhibits as PDFs, HTML and converted text. All SROs overseen by the SEC are covered, such as security exchanges, securities associations, clearing agencies, and more.

Dataset Size:

All releases from 1995 to present with more than 30,000 documents, covering all SROs supervised by the SEC.

Data Update Frequency:

New filings are indexed and searchable in 300 milliseconds after they are published on the SEC website.

API Endpoints

Search API

API to search the SRO filings database: POST requests to https://api.sec-api.io/sro

Bulk Download APIs

API to bulk-download metadata of all releases as JSON file: GET request to https://api.sec-api.io/sro/metadata/all.json

API to bulk-download all SRO releases per year as ZIP file: GET request to https://api.sec-api.io/sro/documents/{YEAR}.zip

Single Download APIs

API to download single SRO documents: GET requests to https://api.sec-api.io/sro/{releaseNo}/{type}-{filename}

API to download single PDFs/HTMLs converted to text: GET requests to https://api.sec-api.io/sro/{releaseNo}/{type}-{filename}.txt

Authentication

To authenticate API requests, use the API key displayed in your user profile. Utilize the API key in one of two ways. Choose the method that best fits your use case:

Authorization Header: Include the API key as an Authorization header of the request. For instance, before sending a POST request to https://api.sec-api.io/sro, ensure the header is set as follows: Authorization: YOUR_API_KEY.
Query Parameter: Alternatively, append the API key directly to the URL as a query parameter. For example, when making POST requests, use the URL https://api.sec-api.io/sro?token=YOUR_API_KEY instead of the base endpoint.

Search API

To search the SRO filings database, make a POST request to https://api.sec-api.io/sro, providing your search criteria as a JSON payload.

Request Structure

The Search API recognizes the following JSON payload parameters:

query (string, required) - The search term or expression, formatted using the Lucene syntax. Example: sro:NASDAQ.
from (string, optional) - Pagination control to specify the starting position of the results. Max: 10000. Default: 0.
size (string, optional) - Determines the number of results to be returned. Max: 100. Default: 100.
sort (array, optional) - Specifies the field by which results should be sorted. By default, results are sorted by issueDate in descending order.

Query Example

Get all metadata objects of the 10 most recently published filings by the NASDAQ SRO.

JSON


            1
            {
          

            2
              "query": "sro:NASDAQ",
          

            3
              "from": "0",
          

            4
              "size": "10",
          

            5
              "sort": [{ "issueDate": { "order": "desc" } }]
          

            6
            }

Response Structure

When the Search API locates matches within the SRO filings database, it returns an array of SRO filing objects in JSON format. Each object comprises the following fields:

releaseNumber: String representing the release number associated with the filing. Example: 34-98702
issueDate: Date string indicating the release date of the filing. Example: 2023-09-01
fileNumber: File number of the filing. Example: SR-ISE-2023-22.
sro: String indicating the SRO associated with the filing. Example: Nasdaq ISE, LLC (ISE)
details: String containing the details of the filing. Example: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Complex Order Rules
commentsDue: Optional string indicating the date by which comments on the filing are due. Example: 21 days after date of publication in the Federal Register.
urls: Array of objects, each containing a type and a url. The types and their corresponding URLs might include:
- Primary filing as indicated by type being the releaseNumber (always included): https://www.sec.gov/files/rules/sro/ise/2023/34-98702.pdf. Older filings might point to a HTML file (website) instead of a PDF file.
- Exhibit 2 (a,b, ...) (optional): https://www.sec.gov/files/rules/sro/finra/2023/34-98703-ex2a.pdf
- Exhibit 3 (optional): https://www.sec.gov/files/rules/sro/nyse/2023/34-98665-ex3.pdf
- Exhibit 4 (optional): https://www.sec.gov/files/rules/sro/cfe/2023/34-97358-ex4.pdf
- Exhibit 5 (optional): https://www.sec.gov/files/rules/sro/ise/2023/34-98702-ex5.pdf
- Submit a Comment on releaseNumber: https://www.sec.gov/comments/sr-ise-2023-22/sr-ise-2023-22-notice-filing-and-immediate-effectiveness-proposed-rule
- View Received Comments (optional): https://www.sec.gov/comments/4-700/4-700.htm
- Commission's Request for Additional Information (optional): https://www.sec.gov/files/rules/sro/dtc/2018/sr-dtc-2017-803-request-additional-info.pdf
- Response to the Commission's Request for Additional Information (optional): https://www.sec.gov/files/rules/sro/dtc/2018/dtc-2017-803-response-request-info.pdf
- Order Granting Accelerated Approval of a Proposed Rule Change (optional): https://www.sec.gov/files/rules/sro/emcc/34-49952.pdf

Response Example

JSON


            1
            [
          

            2
                {
          

            3
                  "releaseNumber": "34-98702",
          

            4
                  "issueDate": "2023-10-06",
          

            5
                  "fileNumber": "SR-ISE-2023-22",
          

            6
                  "sro": "Nasdaq ISE, LLC (ISE)",
          

            7
                  "details": "Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Complex Order Rules",
          

            8
                  "commentsDue": "21 days after date of publication in the Federal Register.",
          

            9
                  "urls": [
          

            10
                    {
          

            11
                      "type": "34-98702",
          

            12
                      "url": "https://www.sec.gov/files/rules/sro/ise/2023/34-98702.pdf"
          

            13
                    },
          

            14
                    {
          

            15
                      "type": "Exhibit 5",
          

            16
                      "url": "https://www.sec.gov/files/rules/sro/ise/2023/34-98702-ex5.pdf"
          

            17
                    },
          

            18
                    {
          

            19
                      "type": "Submit a Comment on SR-ISE-2023-22",
          

            20
                      "url": "https://www.sec.gov/comments/sr-ise-2023-22/sr-ise-2023-22-notice-filing-and-immediate-effectiveness-proposed-rule"
          

            21
                    }
          

            22
                  ]
          

            23
                },
          

            24
                {
          

            25
                  "releaseNumber": "34-97786",
          

            26
                  "issueDate": "2023-06-21",
          

            27
                  "fileNumber": "SR-LCHSA-2023-003",
          

            28
                  "sroOrg": "Banque Centrale De Compensation",
          

            29
                  "details": "Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Liquidity Risk Modelling Framework",
          

            30
                  "commentsDue": "July 18, 2023",
          

            31
                  "urls": [
          

            32
                    {
          

            33
                      "type": "34-97786",
          

            34
                      "url": "https://www.sec.gov/files/rules/sro/lchsa/2023/34-97786.pdf"
          

            35
                    },
          

            36
                    {
          

            37
                      "type": "Exhibit 3.1",
          

            38
                      "url": "https://www.sec.gov/files/rules/sro/lchsa/2023/34-97786-ex31.pdf"
          

            39
                    },
          

            40
                    {
          

            41
                      "type": "Exhibit 3.2",
          

            42
                      "url": "https://www.sec.gov/files/rules/sro/lchsa/2023/34-97786-ex32.pdf"
          

            43
                    },
          

            44
                    {
          

            45
                      "type": "Exhibit 5",
          

            46
                      "url": "https://www.sec.gov/files/rules/sro/lchsa/2023/34-97786-ex5.pdf"
          

            47
                    },
          

            48
                    {
          

            49
                      "type": "Submit a Comment on SR-LCH-SA-2023-003",
          

            50
                      "url": "https://www.sec.gov/comments/sr-lch-sa-2023-003/notice-filing-and-immediate-effectiveness-proposed-rule-change-modified"
          

            51
                    }
          

            52
                  ]
          

            53
                }
          

            54
                // ...
          

            55
              ]

Bulk-Download SRO Filings & SEC Correspondence

Two bulk-download APIs for SRO filing metadata and documents are available.

Bulk-Download Metadata in JSON Format

Download the entire database of metadata (issue date, SRO, details, URLs to documents) of all SRO filings and corresponding SEC releases published from 1997 to present as a single JSON file.

Endpoint: GET https://api.sec-api.io/sro/metadata/all.json

The JSON file mirrors the structure of the Search API response, but containing all filing objects instead of a filtered subset. The JSON file contains an array of metadata objects with the following structure:

releaseNumber: String representing the release number associated with the filing. Example: 34-98702
issueDate: Date string indicating the release date of the filing. Example: 2023-09-01
fileNumber: File number of the filing. Example: SR-ISE-2023-22.
sro: String indicating the SRO associated with the filing. Example: Nasdaq ISE, LLC (ISE)
details: String containing the details of the filing. Example: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Complex Order Rules
commentsDue: Optional string indicating the date by which comments on the filing are due. Example: 21 days after date of publication in the Federal Register.
urls: Array of objects, each containing a type and a url. The types and their corresponding URLs might include:
- Primary filing as indicated by type being the releaseNumber (always included): https://www.sec.gov/files/rules/sro/ise/2023/34-98702.pdf. Older filings might point to a HTML file (website) instead of a PDF file.
- Exhibit 2 (a,b, ...) (optional): https://www.sec.gov/files/rules/sro/finra/2023/34-98703-ex2a.pdf
- Exhibit 3 (optional): https://www.sec.gov/files/rules/sro/nyse/2023/34-98665-ex3.pdf
- Exhibit 4 (optional): https://www.sec.gov/files/rules/sro/cfe/2023/34-97358-ex4.pdf
- Exhibit 5 (optional): https://www.sec.gov/files/rules/sro/ise/2023/34-98702-ex5.pdf
- Submit a Comment on releaseNumber: https://www.sec.gov/comments/sr-ise-2023-22/sr-ise-2023-22-notice-filing-and-immediate-effectiveness-proposed-rule
- View Received Comments (optional): https://www.sec.gov/comments/sr-nasdaq-2022-080/srnasdaq2022080.htm
- Commission's Request for Additional Information (optional): https://www.sec.gov/files/rules/sro/dtc/2018/sr-dtc-2017-803-request-additional-info.pdf
- Response to the Commission's Request for Additional Information (optional): https://www.sec.gov/files/rules/sro/dtc/2018/dtc-2017-803-response-request-info.pdf
- Order Granting Accelerated Approval of a Proposed Rule Change (optional): https://www.sec.gov/files/rules/sro/emcc/34-49952.pdf

Bulk-Download PDFs, HTML and Text Files as ZIP Files

Download a collection of all documents, including filings, notices, orders, comments and more. These documents are available in PDF, HTML, and their corresponding text versions. They are organized annually, packaged as compressed ZIP files and contain all documents attached to an SRO filing published in the respective year.

Endpoint: GET https://api.sec-api.io/sro/documents/{YEAR}.zip

Inside the ZIP file, you'll find distinct folders, each representing an individual SRO filing. Here's a breakdown of the contents and structure:

Folder Naming: Each filing has its designated folder, named using the format /{releaseNo}.
Contents:
- Metadata: Each folder contains a JSON file capturing its metadata.
- Original Documents: You'll find all relevant documents pertaining to the filing, such as notice of proposed rule change, exhibits, response from the SEC, comments, and more. These are available in PDF and HTML formats, depending on how the SEC published the document. The HTML files mirror documents hosted as websites on SEC.gov.
- Text Versions: Every PDF and HTML document has a corresponding text file, making content easily accessible. These text files retain the original document's name but append a .txt extension. For instance, the text counterpart of 34-96601.pdf would be 34-96601.pdf.txt.

Example structure of an unzipped ZIP file of SRO filings published in 2022:

ZIP file name: 2022.zip
Unzipped folder structure:
- /34-96601/
  - 34-96601.json (metadata)
  - 34-96601.pdf (primary notice)
  - 34-96601.pdf.txt (primary notice converted to text)
  - 34-96601-exhibit-2.pdf (exhibit 2)
  - 34-96601-exhibit-2.pdf.txt (exhibit 2 converted to text)
  - 34-96601-received-comments.html (received comments)
  - 34-96601-received-comments.html.txt (received comments converted to text)
  - ... and more