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|Securities | Enforcement Actions |
National Association of Securities Dealers (NASD) index of recent disciplinary actions against firms and individuals.
|Securities | Broker Check |
Financial Industry Regulatory Authority (FINRA) broker search.
|Commodities Futures Traders |
National Futures Association for Commodities Futures Traders search.
|EDGAR Documents |
U.S. Securities and Exchange Commission EDGAR archive securities documents and filings.
|Investment Advisers |
Search for information about Investment Adviser (IA) firms or Investment Adviser Representatives (IAR) regulated by, and electronically registered with, the Securities and Exchange Commission (SEC) or state regulators. Provided by the U.S. Securities & Exchange Commission.
|SEC Company Information |
SEC information on U.S. Public companies. Provides information such as general company info, insider trading, executive compensation, financials, etc.
|SEC Fast Answers |
U.S. Securities & Exchange Commission Fast Answers database for information on SEC related topics such as brokers, advisers, companies, lawsuits, investigations, and SEC rules & laws.
|SEC Filing Text Search Pay Site|
Use this 10KWizard service to search for Securities and Exchange Commission EDGAR filings by ticker, company name, or CIK. Or search by keyword/phrase, industry, SIC code, form group, and/or date range.
|Securities Brokers |
Financial Industry Regulatory Authority (FINRA) registered securities firms and brokers.
|Securities Firms |
Federal Reserve System database of Securities Broker, Dealer, and Underwriter firms..
|Securities Regulators |
Browse this North American Securities Administrators Association (NASAA) list by state for securities regulators in the United States.
Do a comprehensive background search of over 500 million court, inmate, corrections, offender, and fugitive records.