Industry Links
Regulatory Agencies
- Securities and Exchange Commission (SEC)
- Investment Advisor Performance Compensation – SEC Final Rule-2012
- 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
- SEC – Regulation of Investment Advisers by the US SEC
Federal Securities Laws
- The Investment Advisers Act of 1940 | Rules and Regulations
- The Investment Company Act of 1940 | Rules and Regulations
- Securities Act of 1933 | Rules and Regulations
- Securities Exchange Act of 1934 | Rules and Regulations
- Dodd-Frank Wall Street Reform and Consumer Protection Act
- Jumpstart Our Business Startups Act of 2012
Office of Compliance Inspections & Examinations
- Investment Advisor Use of Social Media
- Strengthening Practices for Preventing and Detecting Unauthorized Trading
- Significant Deficiencies Involving Adviser Custody and Safety of Client Assets
- Business Continuity and Disaster Recovery Planning
- Risk Alert-Cybersecurity
- Cybersecurity: Safeguarding Client Accounts against Credential Compromise
- Safeguarding Customer Records and Information in Network Storage-Use of Third Party Security Features
- Observations from Investment Advisor Examinations Relating to Electronic Messaging
- Cybersecurity and Resiliency Observations
- Observations from Examinations of Investment Advisors: Compliance, Supervision, and Disclosure of Conflicts of Interest
- Overview of Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers