BrokerCheck
E22977
BrokerCheck is an online tool that provides background information on brokerage firms and financial advisors to help investors research their professional history and regulatory records.
Statements (48)
| Predicate | Object |
|---|---|
| instanceOf |
investor protection resource
→
online tool → |
| abbreviation |
CRD system as underlying database
→
|
| accessMode |
online
→
|
| availableAs |
website
→
|
| cost |
free of charge to the public
→
|
| country |
United States
→
|
| dataSource |
FINRA Central Registration Depository
→
|
| goal |
assist investors in choosing financial professionals
→
help investors avoid fraud and misconduct → increase transparency in the brokerage industry → |
| hasFeature |
detailed disclosure information
→
downloadable or printable reports on brokers and firms → summary report of a broker’s background → |
| hasSearchFeature |
search by CRD number
→
search by firm name → search by individual name → |
| industry |
financial services regulation
→
|
| language |
English
→
|
| legalBasis |
FINRA rules
→
Securities Exchange Act of 1934 authority over broker-dealers → |
| maintainedBy |
FINRA
→
|
| operator |
FINRA
→
Financial Industry Regulatory Authority → |
| primaryPurpose |
help investors research professional history and regulatory records
→
provide background information on brokerage firms and financial advisors → |
| providesInformationOn |
criminal events related to securities activities
→
customer disputes → disciplinary history → employment history of brokers → exams passed by brokers → licensing status of brokers → professional qualifications of brokers → regulatory events → |
| regulatoryScope |
FINRA disciplinary actions
→
SEC regulatory actions → state securities regulator actions → |
| regulatoryStatus |
regulated information service
→
|
| subjectOfInformation |
FINRA-registered firms
→
SEC-registered investment advisers (via links to IAPD) → broker-dealer firms → brokerage firms → individual brokers → investment adviser representatives → registered representatives → |
| targetUser |
financial consumers
→
individual investors → |
| url |
https://brokercheck.finra.org
→
|
Referenced by (2)
| Subject (surface form when different) | Predicate |
|---|---|
|
Financial Industry Regulatory Authority
→
|
operates |
|
Central Registration Depository
→
|
supportsSystem |