| http://www.finra.org/
FINRA is the largest independent regulator for all securities firms doing business in the United States. Our chief role is to protect investors by maintaining the fairness of the U.S. capital markets. |
| http://www.finra.org/Industry/Compliance/Registration/QualificationsExams/Qualifications/
Registered Principal – Persons associated with a member who are actively engaged in the management of the member’s investment banking or securities business… |
| http://finra.complinet.com/
Search regulations, compliance, education and enforcement |
| http://www.finra.org/Newsroom/NewsReleases/2013/index.htm
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| http://www.finra.org/Newsroom/Statistics/
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| http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/
FINRA BrokerCheck® – Research Brokers, Brokerage Firms, Investment Adviser Representatives and Investment Adviser Firms |
| http://www.finra.org/industry/compliance/registration/crd/filingguidance/p005214
Web CRD and Related System Links |
