Resources

BrokerCheck

https://brokercheck.finra.org/

Investment Adviser Public Disclosure Website (IARD)

https://adviserinfo.sec.gov/

SEC Information for Newly Registered Investment Advisers

https://www.sec.gov/divisions/investment/advoverview.htm

SEC Division of Examinations

https://www.sec.gov/exams

National Futures Association (NFA)

https://www.nfa.futures.org/about/index.html

NFA Exemptions Easy Reference Guide

https://www.nfa.futures.org/members/member-resources/files/exemptions-reference-guide.html

Global Industry Performance Standards (GIPS)

https://www.gipsstandards.org

Securities Lawyer's Deskbook

https://lawblogs.uc.edu/sld/the-deskbook-table-of-contents

North American Securities Administrators Association (NASAA) 

https://www.nasaa.org/industry-resources/investment-advisers/

Investment Company Institute

https://www.ici.org/