On Compliance: Select IC, IA, BDs, Select Markets, COs, Exchanges and Products Checks

Note: This link is for convenient cross reference on Entity Identification and Licensed Representatives lines for Limited Scope needs of identification provided only for convenience of cross reference, We take no account of verification of the information at these points but the end links are from providers identified as owning Regulatory Accountability That noted these are just links for Our Convenience that may also have relevance to your own Due Diligence needs but that you must independently corroborate ( meaning cross verify independently to the entity and source lines). That noted that you own your own Due Diligence lines and can place no reliance to us through the link below, you can generally find that these regulators being the SEC, CFTC the SRO FINRA and MSRB at press are considered quality sources for Regulatory and Compliance needs but you must find your own independent way to them for reliance. These links are only for illustrative points that we can help on needs where specifically engaged to do so and appropriately licensed to do so or sponsored on the required lines to exams and certifications and / or where possessing aligned skills to elements of teamwork under duly licensed professionals for appropriately registered entities we may also provide assistance at the entity level to defined elements of needs not in conflict with licensing. Finally these links provide a manner of outreach to Investor Protection Awareness Due Diligence that can help Entities, Policies and Communities on a level of more common awareness to the validation process of registered entities and advisers but we are not in any manner way shape or form accountable to your performance of that task. This is an Outreach line that let's entities in need of support know we can help and which may provide a general reference point of awareness that always must be cross corroborated to direct source and independently verified.

On Compliance:

Select Investment Companies, Advisers, Broker-Dealers, Select Markets, Companies, Exchanges and Products Checks via source lines:

SEC Edgar Filing Company Search Lines https://www.sec.gov/edgar/searchedgar/companysearch.html




SEC Investment Adviser Protection Disclosure https://www.adviserinfo.sec.gov/IAPD/default.aspx




FINRA Broker Check https://brokercheck.finra.org/



MSRP - EMMA and Muni Pros and Advisers - Registered Firms and Qualified Muni Advisers http://www.msrb.org/Regulated-Entities/Registration-Status.aspx

 


EMMA https://emma.msrb.org/



System Status http://www.msrb.org/MSRB-System-Status.aspx


Investor Protection Awareness link Outs on DCarsonCPA Main Site:

DCarsonCPA ( Main) on Investor Protection Awareness

a support link to help on IPA

The above links are provided for our needs on analysis and as an outreach line to firms to let them know we can help on needs, and for individuals to go elsewhere to learn more and better prepare themselves on due diligence needs for Investor Protection Awareness when prudently managing finances. We can help on elements of accounting, taxation, financials and analysis that exist in relation to  needs in the Wealth Management, Corporate Finance, Financials, Taxation, Regulatory and compliance, audit prep and due diligence support and on sponsored lines to Series Licensed needs or elements of support to licensed needs  as valid and eligible to services. We do not accept Investment Accounts of  Funds and as such make a strong partner for Investment Neutral Cross Validation through Continual Accounting and Analysis to needs. Additionally Our lines can help on strong controls support to compliant entity needs where financials, legal, technology and teamwork align with compliance. We are open to sponsored roles on FINOP and Compliance needs and have STC training and prior hands on exp with Entity Financials, SEC and FINRA, NYSE and other lines in that context for Registered Entities willing to sponsor or seeking project support not requiring registered reporting but supporting entity needs with compliance and strong financial, legal assistant and technology skills to teamwork. #DCarsonCPANET www.dcarsoncpa.net ( Lines to Roll Out Soon for IC, IA, WM, BD,  Insurance and other sector needs on the lean lines here. In Place lines at www.dcarsoncpa.com  in more detail ( #DCarsonCPA ) the NET Lines are our Next Gen lines as we evolve and continually improve. #GRLSTEM lines at www.grlstem.com are for technology meets financial, legal and teamwork points to help from a more Technology and Engineering line as working to strong Cyber Security Designations with Standard and looking across the common needs of growth, risk and Logistics with STEM.  We have more than 25+ years and core experience in Insurance, Wealth Management, Banking, Investment Banking, Investment Companies and Advisers, Mutual Funds, Private Equity, Credit Union and other industry skills. Our skills connect the Hands on Audit through CFO / Controlling to Analyst skills with agility at present to cross functional Economist, Statistical, Actuarial, Financial, Legal, Technology and Teamwork points to Entity, Policy and Community needs for shareholders, owners and community and societal stakeholder needs with compliance from policy to entity governance, corporate governance #GRC - Governance, Risk and Compliance and #ITGRC with IT Governance teamwork skills on an continually improving path of engineering skills for operations, strategy and functional support needs. As we pursue Quant, Economist, Legal and Tech lines with an engineering mind to design and new technology we bring something strong on Project Management, Business Analyst SME and IT and other aligned needs on Financials, Accounting, Taxation, Compliance, Regulatory and Advisory lines to Entity needs for project, process and more permanent needs as valid and compliant to needs. You can learn more at the links above and at www.dcarsoncpa.net www.dcarsoncpa.com and  www.grlstem.com