Additional Resources

Federal Law, Rules and Regulations

SEC Laws - Full documents of laws and rules that govern the securities industry at the federal level.

Access Colorado law and rules.

Investment Adviser & Broker Dealer Registration Databases

CFTC Smart Check - United States Commodities and Futures Trading Commission allows you to search licenses for both investment advisers and broker dealers.

SEC Investment Adviser Search - United States Securities and Exchange Commission allows you to search licensed investment advisers and investment adviser representatives.

FINRA Broker Check - Financial Industries Regulatory Authority allows you to search licensed broker dealers and sales representatives.

Federal Registration Websites

SEC Edgar Database - Access information and complete filings.

FINRA CRD - Financial Industries Regulatory Authority's Central Registration Depository

NASAA Central  IARD - North American Securities Administration's Investment Adviser Registration Depository