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Description:

The Securities Exchange Commission (SEC) has just announced a new Website that allows users to look up information about SEC- and state-registered investment advisor firms. Users can search for firms and pull up their most recent Form ADV, the form that firms file to register with the SEC or the states. The form contains information about the firm's operations, its key personnel, and disciplinary actions involving the firm. The site also provides links to related sites, such as state regulators and the Central Registration Depository Public Disclosure on the Internet.

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      Keywords:

      oai:nsdl.org:2200/20120928130954220T,NSDL_SetSpec_internetscout,NSDL

      Language:

      English

      Access Privileges:

      Public - Available to anyone

      License Deed:

      Creative Commons Attribution Non-Commercial Share Alike

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      Non-profit Tax ID # 203478467