Industry Specific Inquiries

Financial

SEC EDGAR

An SEC EDGAR search is a search of the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) database, which is maintained by the Securities and Exchange Commission (SEC).

EDGAR contains all public filings made by companies and individuals with the SEC, including annual reports, quarterly reports, proxy statements, and SEC filings. The SEC EDGAR database provides corporate information, allowing you to find financial information and operations by reviewing the filings a company makes with the SEC.

Federal Deposit Insurance Corporation (FDIC)

An FDIC search is a check of the Federal Deposit Insurance Corporation's (FDIC) records to determine if an individual has any prior criminal or financial history that would make them ineligible to work in the financial industry.

Some industries are subject to regulations that require employers to conduct financial background checks on potential employees.

Federal Reserve Board Enforcement Actions

The Federal Reserve Board (FRB) is the central bank of the United States. It is responsible for regulating and supervising banks and other financial institutions. The FRB can take enforcement actions against banks and other financial institutions that violate laws, rules, or regulations.

These enforcement actions can include cease and desist orders, written agreements, removal and prohibition orders, and orders assessing civil money penalties.

US DOT Office of the Comptroller of the Currency

The US DOT Office of the Comptroller of the Currency (OCC) charters, regulates, and supervises all national banks and federal savings associations as well as federal branches and agencies of foreign banks.

The OCC is responsible for ensuring that the nation's banking system is safe and sound, and that it provides fair and equal access to financial services to all Americans. The OCC search is designed to help employers protect their financial institutions from fraud and other criminal activity.

National Association of Securities Dealers Disciplinary Actions

The National Association of Securities Dealers (NASD) is a self-regulatory organization (SRO) for the securities industry in the United States.

NASD Disciplinary Actions are actions taken by NASD against broker-dealers and their employees for violations of NASD rules or federal securities laws. They can impose a variety of sanctions, including fines, suspensions, and expulsions. NASD Disciplinary Actions are an important part of efforts to protect investors from fraud and abuse.

NCUA Administrative Orders

The National Credit Union Administration (NCUA) is a federal agency that regulates and insures credit unions. The NCUA has the authority to issue Administrative Orders against individuals and entities that violate federal laws or regulations governing credit unions.

These orders can include a variety of sanctions, such as fines, restitution, and bans on future employment in the financial industry.

Investment Adviser Public Disclosure

The Investment Adviser Public Disclosure (IAPD) is a database that contains information on investment adviser firms and investment adviser representatives who are registered with the Securities and Exchange Commission (SEC) or with state securities regulators.

The IAPD database includes information on an investment adviser firm's or representative's name, address, and phone number, registration status, fees, investment strategies, and disciplinary history.

FINRA NASD Broker Check

FINRA BrokerCheck is a tool that provides information on the background and disciplinary history of securities industry professionals, including brokers, investment advisers, and firms.

It is designed to help investors make informed decisions about whom to do business with. You can also use FINRA BrokerCheck to conduct background checks on potential employees who will be working in the securities industry.

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