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Industry Resources
ResourcesChris Carragher2019-11-08T14:16:10+00:00

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

  • The Investment Advisers Act of 1940
  • The Investment Company Act of 1940
  • Securities Act of 1933 | Rules and Regulations
  • Securities Exchange Act of 1934 | Rules and Regulations

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