Sources
Official sources we will organize
These authorities are registered in configuration. Task 002 adds the official SEC IARD registered-adviser and exempt-reporting-adviser firm rosters. BrokerCheck is not ingested.
Authorities
U.S. Securities and Exchange Commission
Primary federal securities regulator for advisers, funds, issuers, and EDGAR filings.
Financial Industry Regulatory Authority
Broker-dealer and registered-person research. BrokerCheck has special permitted-use constraints.
National Futures Association
Futures and commodities self-regulatory organization.
U.S. Commodity Futures Trading Commission
Federal commodities and derivatives regulator.
State securities regulators
State notice filings, IAR state registrations, and enforcement.
Source systems
Investment Adviser Public Disclosure (IAPD / IARD)
sec · adviser_and_iar
ADV and IAR records change; display retrieved/effective dates.
Corrections belong at the official IAPD/IARD filing, not by silent rewrite.
Form ADV / IARD adviser filings
sec · adviser_filing
Annual updating amendments and other-than-annual amendments.
Preserve raw filing values even when later amendments supersede them.
FINRA BrokerCheck
finra · broker_and_bd · prospecting prohibited
BrokerCheck data may have freshness, attribution, correction, and marketing restrictions. Do not treat extracts as a sales-prospecting database.
Research/public evidence and any future Business Console prospecting systems must remain logically separable.
SEC EDGAR
sec · issuer_filing
Filings are point-in-time. Keep accession-level provenance.
Amendments are new filings, not overwrites of the original accession.
SEC investment company data (N-CEN, N-PORT, series/class)
sec · registered_fund
Series/class identities change; keep historical mappings.
Do not invent CUSIP/ISIN/ticker links without an official mapping.
NFA BASIC
nfa · commodity_professional
Registration and disciplinary records change; store observed-at.
Cite BASIC record identifiers; do not paraphrase into accusations.
CFTC public enforcement and registration sources
cftc · commodity_enforcement
Enforcement dockets are not a complete fitness history.
Distinguish allegations, settlements, and judgments.