The Securities and Exchange Commission (SEC) requires brokerage firms to file various reports, including Form 10-Q and Form N-1SR. These forms often contain historical broker call rates. To access these forms, follow these steps:
1. Visit the SEC's website: www.sec.gov
2. Click on "Filings" in the top menu bar.
3. Select "EDGAR Search" from the dropdown menu.
4. Enter the brokerage firm's name or CIK in the search box.
5. Select "10-Q" or "N-1SR" from the "Form Type" dropdown menu.
6. Select the desired year from the "Fiscal Year End" dropdown menu.
7. Click "Search."
8. Select the relevant filing from the list of results.
9. Download the filing in PDF format.
10. Search the filing for the broker call rate information.
Option 2: Brokerage Firm Websites
Some brokerage firms may publish their historical broker call rates on their websites. To find this information, follow these steps:
1. Visit the brokerage firm's website.
2. Search for their "About Us" or "Investor Relations" section.
3. Look for a link to financial reports or press releases.
4. Download or view the annual or quarterly reports to find the broker call rate information.
Option 3: Financial Data Providers
Financial data providers such as Bloomberg, Reuters, and FactSet may also provide historical broker call rate data. To access this information, you will need to subscribe to their services.
It's important to note that the availability of historical broker call rate data may vary depending on the brokerage firm and the data source. Some firms may only provide recent years' data, while others may have data going back several years.