• DC Department of Insurance and Securities Regulation
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• NASD - Regulation - Check the Background of Your Investment Professional
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• NASD - Regulation - Current Uniform Registration Forms for Electronic Filing in Web CRD
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• Regulation of Financial Advisors and Investment Advisers - Financial Advisors, Investment Counselors, and the Financial Indu...
  Regulation of Financial Advisors and Investment Advisers - Financial Advisors, Investment Counselors, and the Financial Industry - Financial Articles, Investment advisors and brokers are registered, licensed, and certified by a variety of federal, state, and private organizations. These articles help you to learn about adviser and broker certification and regulation.
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• Regulation of financial planners and investment advisors -- Introduction - Financial Advisors, Investment Counselors, and th...
  Regulation of financial planners and investment advisors -- Introduction - Financial Advisors, Investment Counselors, and the Financial Industry > Regulation of Financial Advisors and Investment Advisers - Financial Articles, In a series of articles, The Skilled Investor provides information on how financial planners and investment advisors are regulated and certified. These articles also provide information to help you find online background information about advisors.
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