Regulatory Agencies
- Securities and Exchange Commission (SEC)
- The Financial Industry Regulatory Authority (FINRA)
- The North American Securities Administrators Association (NASAA)
- Listing of State Regulatory Agencies
- U.S. Commodity Futures Trading Commission
- Chicago Board Options Exchange, Incorporated (CBOE)
- Office of Foreign Assets Control
- Municipal Securities Rulemaking Board’s (MSRB)
Registration
- Investment Adviser Registration Depository (IARD)
- Investment Adviser Public Disclosure WebSite (IAPD)
- FINRA Central Registration Depository (CRD)
- FINRA Entitlement Process
- SEC Form ADV Reference Site
- SEC IARD Reference Site
- SEC – Information for Newly-Registered Investment Advisers
Federal Securities Laws