compliance_fetch_finra_broker
Fetch FINRA BrokerCheck registration for a US broker or investment adviser by CRD number. Read-only. No side effects. Idempotent. US only. crd_number: Central Registration Depository number as a string of digits e.g. 1234567. Required. CRD number only — name lookup is not supported. Returns regis...
This record as markdown: /tools/dev-7bd0-mcp-server/compliance-fetch-finra-broker.md
What compliance_fetch_finra_broker does on DataNexus MCP
AI agents call compliance_fetch_finra_broker to retrieve information from DataNexus MCP without modifying anything. It is typically the context-gathering step in research, monitoring, and reporting workflows, before the agent takes action elsewhere.
| Parameter | Type | Required | Description |
|---|---|---|---|
crd_number | string | — | FINRA CRD number e.g. 149777. Required. |
Parameters from the server's own tool schema.
Why compliance_fetch_finra_broker is rated Low
This is a pure read operation that retrieves publicly available regulatory information about financial brokers from a verified official source (FINRA). It performs a lookup by CRD number and returns registration details with no capability to modify, execute code, or trigger side effects. The explicit documentation confirms it is read-only and idempotent, placing it firmly in the Read category with low severity.
From the tool's definition Tool description explicitly states 'Read-only. No side effects. Idempotent.' It fetches and returns registration status, qualifications, disclosure history, and employment history from FINRA BrokerCheck without modifying any data.
Attacks that exploit this kind of access
The rule that runs compliance_fetch_finra_broker safely
PolicyLayer is an MCP gateway: it sits between your AI agents and DataNexus MCP, and checks every tool call against a rule you set before the call runs. Nothing changes on the server itself. For compliance_fetch_finra_broker, this is the rule to start with:
compliance_fetch_finra_broker is read-only, so it stays allowed. Everything else on the server is denied unless you say otherwise.
The button opens the PolicyLayer dashboard: create your workspace, connect DataNexus MCP, apply this rule, and every compliance_fetch_finra_broker call is checked against it from then on.
Questions about compliance_fetch_finra_broker
Fetch FINRA BrokerCheck registration for a US broker or investment adviser by CRD number. Read-only. No side effects. Idempotent. US only. crd_number: Central Registration Depository number as a string of digits e.g. 1234567. Required. CRD number only — name lookup is not supported. Returns registration status, qualifications, disclosure history, and employment history. Use this when you have the CRD number. Use compliance_search_npi_by_name instead for healthcare providers, not financial advisers. Verified source: FINRA BrokerCheck. 24-hour cache. If this tool's response does not serve the user's need, call report_feedback with feedback_type="agent_gap", tool_id="compliance_fetch_finra_broker", intended_query="{what the user needed}", gap_description="{what was missing or wrong in the result}". It is categorised as a Read tool in the DataNexus MCP MCP Server, which means it retrieves data without modifying state.
compliance_fetch_finra_broker accepts 1 parameter: crd_number. The full parameter table on this page comes from the server's own tool schema.
Register the DataNexus MCP server in PolicyLayer and add a rule for compliance_fetch_finra_broker: allow, deny, rate-limit, or require approval. Point your MCP client at the PolicyLayer proxy URL and the rule is enforced on every call, before it reaches DataNexus MCP. Nothing to install.
compliance_fetch_finra_broker is a Read tool with low risk. Read-only tools are generally safe to allow by default.
Yes. Add a rate_limit block to the compliance_fetch_finra_broker rule in your PolicyLayer policy. For example, setting max: 10 and window: 60 limits the tool to 10 calls per minute. Rate limits are tracked per agent session and reset automatically.
Set action: deny in the PolicyLayer policy for compliance_fetch_finra_broker. The AI agent will receive a policy violation error and cannot call the tool. You can also include a reason field to explain why the tool is blocked.
compliance_fetch_finra_broker is provided by the DataNexus MCP server (dev-7bd0/mcp-server). PolicyLayer sits as a proxy in front of this server to enforce policies before tool calls reach the server.
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