CMS.DataEngine.CollectionPropertyWrapper`1[CMS.DataEngine.BaseInfo]
FINRA search
This check will establish an individual's an individual’s regulatory standing.
What does it check?
The product is a comprehensive, multi layered compliance search consolidating multiple authoritative data sources into a single, streamlined search to deliver a clear view of an individual’s regulatory standing. Built to align with FINRA-related due diligence expectations, this check has been designed specifically to support organisations operating in regulated financial environments.
Est. turnaround time
2 - 4 days
Availability
The service is available for both USA citizens and foreign nationals who have resided in the USA (currently or previously).
What does it cover?
This product integrates multiple checks across the following U.S. federal and industry regulatory bodies:
- Broker Check (FINRA – Financial Industry Regulatory Authority): Identifies disclosures, regulatory actions, employment history, and licensing status for brokers and brokerage firms.
- IAPD – Investment Adviser Public Disclosure: Confirms registration details, disciplinary history, and filings for investment advisers and adviser firms.
- Federal Reserve: Screens for enforcement actions issued against individuals or institutions overseen by the Federal Reserve System.
- Sanctions Search: Identifies matches against relevant U.S. sanctions lists covering restricted or prohibited financial activity.
- System Award Management (SAM): Checks the federal exclusion database to verify whether an individual or entity is debarred or suspended from U.S. government contracts.
- Office of the Comptroller of the Currency (OCC): Reviews enforcement actions and regulatory findings related to banks and financial executives.
- National Futures Association (NFA): Highlights disciplinary actions, registration status, and membership details for futures and derivatives professionals.
- National Credit Union Administration (NCUA): Identifies administrative orders and actions issued against credit union employees and institutions.
- Securities and Exchange Commission (SEC): Screens for enforcement actions, civil proceedings, and regulatory decisions published by the SEC.
Additional Considerations
A Social Security Number (SSN) is a mandatory requirement to run this check.
Results
Issued in report format, the check will confirm any recorded offences to include date, offence type and penalties imposed.
Data Sources
U.S. federal and industry regulatory bodies