For Brokers and Advisers Registered with FINRA
Go to your state securities regulator to perform additional research on brokers and advisers.
Check if the SEC has brought formal actions against an individual.
Check if a financial professional has a criminal record.
For Other Financial Professionals
Commodities and Futures Brokers
CFTC Smart Check
National Futures Association BASIC
View Registration Details
Review your registration and licensing information that is available in the Web CRD/IARD systems:
Employment History
Registrations held with current and previous employers
Professional Designations for Investment Adviser representatives
Other Business Activities
Exam information, including a complete history of license examinations
Continuing Education
Thank you, Gerri and Anna, and thanks to everyone for joining us today for the release of the 2015 National Financial Capability Study findings. This study was a tremendous undertaking that could not have happened without the hard work of many people and organizations, including the George Washington University’s Global Financial Literacy Excellence Center. The Center played a large role in this
Mr. Chairman and Members of the Subcommittee: Thank you for inviting us to testify on financial literacy and for allowing us to submit this statement for the record. NASD is committed to expanding the knowledge and confidence of all Americans wishing to build a more secure financial future through saving and investing.
Teaching kids about financial concepts and prudent decision-making can help them become financially proficient adults and deserves a spot alongside early learning basics. Learn four tips to help build their foundation for financial fluency.
Financial Exploitation of Seniors
Regulatory Notice
Notice Type
Rule Amendment and New Rule
Referenced Rules & Notices
FINRA Rule 2010
FINRA Rule 2140
FINRA Rule 2150
FINRA Rule 2165
FINRA Rule 3310
FINRA Rule 4521
FINRA Rule 11870
Regulation S-P
SEA Rule 17a-
NEW FOR 2023
Cybersecurity and Technology Governance
Anti-Money Laundering, Fraud and Sanctions
Manipulative Trading NEW FOR 2023
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Financial planners can come from a variety of backgrounds and offer a variety of services. They might be brokers or investment advisers, insurance agents or practicing accountants—or they might have no financial credentials at all.
