dfireg_secLevel 1

SEC Securities Regulation

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dfireg_sec_brokerSEC Broker-Dealer Registration (15 USCA, FINRA)

dfireg_sec_iaSEC Investment Adviser Registration (Form ADV)

dfireg_sec_publicSEC Public Reporting (10-K, 10-Q, 8-K filers)

Cross-system equivalences2

NAICS 2022

522Credit Intermediation and Related Activitiesbroad 523Securities, Commodity Contracts, and Other Financial Investments and Related Activitiesbroad

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