businesses - regulatory agencies

By Paul Grabowicz   ·   Updated Aug 30, 2011   ·   Print Print

Financial Services Companies

For brokerage houses and brokers, the Financial Industry Regulatory Authority has a searchable online database:

FINRA BrokerCheck

For investment advisory firms and advisors, the U.S. Securities and Exchange Commission has an online database of firms and people registered with federal or state agencies:

SEC Investment Adviser Search

For state agencies that regulate different types of financial service companies, go to the North American Securities Administrators Association:

NASAA Contact Your Regulator Map

Filed under: Public Records