How to Search Securities (Start Here)
Securities databases are maintained by the SEC and FINRA. These cover company filings, broker registrations, investment adviser disclosures, and enforcement actions.
What this page covers: SEC EDGAR, FINRA BrokerCheck, IAPD, and SEC enforcement. What it does not cover: State securities regulators or stock price data.
Where to start: For company filings, use SEC EDGAR. For broker/adviser background checks, use FINRA BrokerCheck or SEC IAPD.
Common mistake: BrokerCheck covers broker-dealers. IAPD covers investment advisers. Some professionals are in both.
What Each System Returns vs Excludes
| System | Returns | Excludes |
|---|---|---|
| SEC EDGAR | 10-K, 10-Q, 8-K, proxy, insider trades, beneficial ownership | Private company data, individual portfolios |
| FINRA BrokerCheck | Broker employment, certifications, complaints, regulatory actions | Client account information |
| MSRB EMMA | Municipal bond disclosures, trade data | Corporate bond data |
Commodities Futures Traders
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National Futures Association for Commodities Futures Traders search.
EDGAR Documents
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U.S. Securities and Exchange Commission EDGAR archive securities documents and filings.
Investment Advisers
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Search for information about Investment Adviser (IA) firms or Investment Adviser Representatives (IAR) regulated by, and electronically registered.
SEC Company Information
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SEC information on U.S. Public companies. Provides information such as general company info, insider trading, executive compensation, financials.
SEC Fast Answers
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U.S. Securities & Exchange Commission Fast Answers database for information on SEC related topics such as brokers, advisers, companies, lawsuits.
Securities Brokers
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Financial Industry Regulatory Authority (FINRA) registered securities firms and brokers.
Securities Firms
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Federal Reserve System database of Securities Broker, Dealer, and Underwriter firms.
Securities Regulators
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Browse this North American Securities Administrators Association (NASAA) list by state for securities regulators in the United States.
Securities | Enforcement Actions
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National Association of Securities Dealers (NASD) index of recent disciplinary actions against firms and individuals.
Securities | Broker Check
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Financial Industry Regulatory Authority (FINRA) broker search.
Frequently Asked Questions
Can I check a financial adviser's background? ▼
Yes. Use FINRA BrokerCheck for broker-dealers and SEC IAPD for investment advisers. Both are free.
What is EDGAR? ▼
The SEC's system for publicly traded companies to file required documents — 10-K, 10-Q, proxy statements, insider reports. All free.
What is the difference between BrokerCheck and IAPD? ▼
BrokerCheck covers FINRA-registered broker-dealers. IAPD covers SEC/state-registered investment advisers.
Other Federal Databases
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