# Financial entities | Americas Firm Ledger > A structured directory of 19 financial entity profiles linked to public research. Canonical: https://americasfirmledger.com/charters Last updated: 2026-10-25T11:28:22.005Z ## Financial entities indexed by Americas Firm Ledger This directory lists 19 public entity profiles linked to research that passes current indexability checks. - [Canadian Investment Regulatory Organization (CIRO) (CIRO)](https://americasfirmledger.com/charters/ciro-canadian-investment-regulator) — license; Canada. National self-regulatory organization that oversees all investment dealers, mutual fund dealers, and trading activity on Canada’s debt and equity marketplaces. - [Delaware Court of Chancery Jurisdiction (CHANCERY)](https://americasfirmledger.com/charters/delaware-court-of-chancery) — product; United States (Delaware). Preeminent business court in the United States, adjudicating corporate internal affairs, fiduciary duties, and merger disputes without juries. - [Delaware General Corporation Law (DGCL) (DGCL)](https://americasfirmledger.com/charters/delaware-general-corporation-law) — product; United States (Delaware). The statutory foundation governing Delaware corporations, renowned for its flexible business judgment rule and specialized Court of Chancery jurisprudence. - [FINRA Rule 4210 Margin Requirements (FINRA-4210)](https://americasfirmledger.com/charters/finra-rule-4210-margin) — license; United States. Comprehensive FINRA rule setting forth initial and maintenance margin requirements for broker-dealer customer transactions across securities and derivatives. - [FINTRAC Canada Registry (FINTRAC)](https://americasfirmledger.com/charters/fintrac-canada-msb) — license; Canada. Financial Transactions and Reports Analysis Centre of Canada, Canada’s financial intelligence unit and supervisor of domestic and foreign MSBs. - [FINTRAC Electronic Funds Transfer Reporting System (FINTRAC-EFTR)](https://americasfirmledger.com/charters/fintrac-eftr-reporting) — license; Canada. Mandatory statutory reporting mechanism under Canadian law tracking all international transfers of CAD $10,000 or more into or out of Canada. - [FINTRAC Foreign Money Services Business Framework (FINTRAC-FMSB)](https://americasfirmledger.com/charters/fintrac-fmsb-framework) — license; Canada. Statutory registration framework under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act for firms operating outside Canada targeting Canadians. - [Investment Adviser Registration Depository (IARD) (IARD-ADV)](https://americasfirmledger.com/charters/iard-investment-adviser-registry) — product; United States. Electronic filing system operated by FINRA on behalf of the SEC and state securities administrators for investment adviser licensing and public disclosure. - [National Futures Association (NFA) BASIC System (NFA-BASIC)](https://americasfirmledger.com/charters/nfa-basic-system-registry) — license; United States. Public background examination system operated by the NFA, tracking registration history and disciplinary actions across futures and swap participants. - [North American Cross-Border Licensing Standard (NA-CROSS)](https://americasfirmledger.com/charters/north-american-licensing-standard) — license; US / Canada. Harmonized compliance framework combining federal FinCEN/FINTRAC registrations with state and provincial financial licenses across North America. - [PCAOB Auditing Standard for Broker-Dealers (PCAOB-BD)](https://americasfirmledger.com/charters/pcaob-broker-dealer-standard) — license; United States. Public Company Accounting Oversight Board standards governing independent audits and attestation engagements of registered broker-dealers. - [SEC EDGAR Access Codes & EDGAR Next Architecture (EDGAR-CIK)](https://americasfirmledger.com/charters/sec-edgar-access-system) — product; United States. Credentialing infrastructure used by the SEC to authenticate corporate issuers, investment managers, and filers on the EDGAR database. - [SEC EDGAR Corporate Reporting System (EDGAR-10K)](https://americasfirmledger.com/charters/sec-edgar-corporate-reporting) — product; United States. Electronic system used by publicly traded companies and registered broker-dealer holding companies to file annual and quarterly financial reports. - [SEC Regulation D Private Placement Exemption (REG-D)](https://americasfirmledger.com/charters/sec-regulation-d-exemption) — license; United States. Safe harbor exemption under the Securities Act of 1933 allowing companies to raise capital via private offerings without full public registration. - [SEC Rule 15c3-1 Net Capital Standard (SEC-15C3-1)](https://americasfirmledger.com/charters/sec-rule-15c3-1-net-capital) — license; United States. Federal rule establishing mandatory minimum net liquid asset requirements for registered broker-dealers to ensure customer and counterparty protection. - [SEC Rule 15c3-3 Customer Protection Standard (SEC-15C3-3)](https://americasfirmledger.com/charters/sec-rule-15c3-3-customer-protection) — license; United States. Rule requiring broker-dealers to maintain custody and control over fully paid customer securities and maintain a dedicated cash reserve for customer credits. - [Securities Investor Protection Corporation (SIPC) (SIPC)](https://americasfirmledger.com/charters/sipc-investor-protection) — license; United States. Non-profit corporation created by the Securities Investor Protection Act of 1970 to restore funds and securities to investors in failed brokerage firms. - [US & Canada SEC, FINRA, NFA & FINTRAC Broker-Dealer Roll (AMERICAS-BD-ROLL)](https://americasfirmledger.com/charters/sec-finra-nfa-fintrac-broker-dealer-regulatory-roll) — company; United States (SEC / FINRA / CFTC / NFA) & Canada (CIRO / FI. US & Canada SEC, FINRA, NFA & FINTRAC Broker-Dealer Roll (AMERICAS-BD-ROLL) is the flagship cornerstone institutional benchmark and regulatory verification standard maintained by Americas Firm Roll under United States (SEC / FINRA / CFTC / NFA) & Canada (CIRO / FINTRAC) oversight. - [U.S. SEC EDGAR Filing System (EDGAR)](https://americasfirmledger.com/charters/sec-edgar-registry) — product; United States. Electronic Data Gathering, Analysis, and Retrieval system operated by the U.S. Securities and Exchange Commission for corporate and private fund filings.