Industry Resources

• Financial Industry Regulatory Authority (FINRA)
• U.S. Securities & Exchange Commission (SEC)
• New York Stock Exchange (NYSE)
• North American Securities Administrators Association (NASAA)
• The Municipal Securities Rulemaking Board (MSRB)
• National Society of Compliance Professionals (NSCP)
• Southern California Compliance Group (SCCG)
• National Association of Independent Broker-Dealers (NAIBD)
• Securities Industry and Financial Markets Association (SIFMA)
• Securities Investor Protection Corporation (SIPC)
• Investment Adviser Public Disclosure (IAPD)