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