Beyond BrokerCheck: SEC adds online adviser search tool (InvestmentNews)

InvestmentNews: Beyond BrokerCheck: SEC adds online adviser search tool. “The SEC has added an online search feature to its Investor.gov website that enables investors to check whether advisers have a judgment or order entered against them in an enforcement action. The tool — SEC Action Lookup for Individuals, or SALI — differs from the BrokerCheck site of the Financial Industry Regulatory Authority Inc. in that it contains information about unregistered as well as registered individuals.”

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