-
Federal
Information About Registered Investment Advisers and Exempt Reporting Advisers
Securities and Exchange Commission —
The Investment Adviser Information Reports' data is collected from electronic submissions of Form ADV by investment adviser firms to the Investment Adviser... -
Federal
Information About Registered Municipal Advisors
Securities and Exchange Commission —
This Excel spreadsheet file contains the names of SEC registered municipal advisor firms (including sole proprietorships), as well as their SEC reporting file numbers... -
Federal
Alternative Trading System (ATS) List
Securities and Exchange Commission —
The SEC receives submissions from alternative trading systems on an ongoing basis pursuant to Regulation ATS. We note that the list of alternative trading systems...