RND RESOURCEScompliance.cpa
Industry directory

Check a regulator, auditor, clearing firm or lawyer.

Free, official lookup tools we use to vet the firms our broker-dealer and adviser clients work with. No sponsored listings.

Regulators & self-regulatory organizations

Who oversees your firm, and where to find their rules and contacts.

RegulatorSECSecurities and Exchange Commission ↗Federal regulator of broker-dealers, investment advisers and municipal advisors. SROFINRAFinancial Industry Regulatory Authority ↗Member firm rules, filings, exams and registration for broker-dealers. SROMSRBMunicipal Securities Rulemaking Board ↗Rules for municipal securities dealers and municipal advisors. LookupNASAAFind your state securities regulator ↗Contacts for every state, province and territory securities regulator. RegulatorCalifornia DFPICalifornia Department of Financial Protection and Innovation ↗State regulator for California broker-dealers and investment advisers. RegulatorCFTCCommodity Futures Trading Commission ↗Federal regulator of futures, swaps and introducing brokers.

Verify a firm or individual

Registration and disciplinary history before you hire, onboard or partner.

LookupFINRABrokerCheck ↗Broker-dealers and registered representatives. A firm's detailed report also lists its clearing arrangements. LookupSECInvestment Adviser Public Disclosure ↗Form ADV filings for SEC- and state-registered advisers and their representatives. LookupSIPCSIPC member list ↗Confirm a broker-dealer is a SIPC member. LookupNFANFA BASIC ↗Registration and disciplinary history for futures firms and individuals.

Auditors

A broker-dealer's annual audit must be performed by a PCAOB-registered firm that is independent of the firm's FINOP and bookkeeper.

LookupPCAOBRegistered accounting firm search ↗Search PCAOB-registered audit firms by name, country or audit practice. ReportsPCAOBFirm inspection reports ↗Public inspection results for registered audit firms. LookupNASBACPAverify ↗Check CPA and CPA-firm licenses and discipline across participating state boards.

Clearing & custody firms

Find out who clears and carries accounts for a broker-dealer, and which firms are clearing participants.

LookupSEC EDGARBroker-dealer annual reports (Form X-17A-5) ↗Each broker-dealer's audited annual report names its auditor and usually its clearing firm. Search the firm name, then filter to X-17A-5. DirectoryDTCCDTC, NSCC and FICC participant directories ↗Firms that are direct participants in the main U.S. clearing and settlement systems.

Tip: To compare clearing firms, look at the X-17A-5 reports of several introducing broker-dealers similar to yours. The notes to the financial statements describe each one's clearing agreement and deposit. See our guide: how to choose a clearing firm for a broker-dealer.

Securities counsel

Confirm a lawyer's license and discipline, and review past FINRA arbitration outcomes.

LookupState Bar of CaliforniaCalifornia attorney search ↗License status and discipline for California attorneys. Other states' bars offer similar searches. LookupFINRAArbitration Awards Online ↗Free search of FINRA arbitration awards, including the parties and their counsel.

Choosing an auditor or clearing firm?

We help broker-dealers compare auditors and clearing arrangements, prepare for the switch, and coordinate year-end audits.

Request a proposal →

Looking for work in the industry? See securities industry jobs at regulators and firms.

These are third-party public resources. RND Resources is not affiliated with, and does not endorse, any agency, firm or person listed or found through them. Links checked October 2026.