Entity index
Entities in our coverage
Every company, person, benchmark and regulatory framework referenced in Americas Firm Ledger articles, with identifiers and links to the related coverage.
- Entities indexed
- 19
Companies & institutions
1 entry
Benchmarks & products
6 entries
Delaware Court of Chancery JurisdictionCHANCERYPreeminent business court in the United States, adjudicating corporate internal affairs, fiduciary duties, and merger disputes without juries.United States (Delaware)Delaware Court of Chancery Jurisdiction10 related articlesDelaware General Corporation Law (DGCL)DGCLThe statutory foundation governing Delaware corporations, renowned for its flexible business judgment rule and specialized Court of Chancery jurisprudence.United States (Delaware)Delaware General Corporation Law (DGCL)11 related articlesInvestment Adviser Registration Depository (IARD)IARD-ADVElectronic filing system operated by FINRA on behalf of the SEC and state securities administrators for investment adviser licensing and public disclosure.United StatesInvestment Adviser Registration Depository (IARD)10 related articlesSEC EDGAR Access Codes & EDGAR Next ArchitectureEDGAR-CIKCredentialing infrastructure used by the SEC to authenticate corporate issuers, investment managers, and filers on the EDGAR database.United StatesSEC EDGAR Access Codes & EDGAR Next Architecture10 related articlesSEC EDGAR Corporate Reporting SystemEDGAR-10KElectronic system used by publicly traded companies and registered broker-dealer holding companies to file annual and quarterly financial reports.United StatesSEC EDGAR Corporate Reporting System10 related articlesU.S. SEC EDGAR Filing SystemEDGARElectronic Data Gathering, Analysis, and Retrieval system operated by the U.S. Securities and Exchange Commission for corporate and private fund filings.United StatesU.S. SEC EDGAR Filing System4 related articles
Licences & frameworks
12 entries
Canadian Investment Regulatory Organization (CIRO)CIRONational self-regulatory organization that oversees all investment dealers, mutual fund dealers, and trading activity on Canada’s debt and equity marketplaces.CanadaCanadian Investment Regulatory Organization (CIRO)10 related articlesFINRA Rule 4210 Margin RequirementsFINRA-4210Comprehensive FINRA rule setting forth initial and maintenance margin requirements for broker-dealer customer transactions across securities and derivatives.United StatesFINRA Rule 4210 Margin Requirements10 related articlesFINTRAC Canada RegistryFINTRACFinancial Transactions and Reports Analysis Centre of Canada, Canada’s financial intelligence unit and supervisor of domestic and foreign MSBs.CanadaFINTRAC Canada Registry4 related articlesFINTRAC Electronic Funds Transfer Reporting SystemFINTRAC-EFTRMandatory statutory reporting mechanism under Canadian law tracking all international transfers of CAD $10,000 or more into or out of Canada.CanadaFINTRAC Electronic Funds Transfer Reporting System10 related articlesFINTRAC Foreign Money Services Business FrameworkFINTRAC-FMSBStatutory registration framework under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act for firms operating outside Canada targeting Canadians.CanadaFINTRAC Foreign Money Services Business Framework10 related articlesNational Futures Association (NFA) BASIC SystemNFA-BASICPublic background examination system operated by the NFA, tracking registration history and disciplinary actions across futures and swap participants.United StatesNational Futures Association (NFA) BASIC System10 related articlesNorth American Cross-Border Licensing StandardNA-CROSSHarmonized compliance framework combining federal FinCEN/FINTRAC registrations with state and provincial financial licenses across North America.US / CanadaNorth American Cross-Border Licensing Standard10 related articlesPCAOB Auditing Standard for Broker-DealersPCAOB-BDPublic Company Accounting Oversight Board standards governing independent audits and attestation engagements of registered broker-dealers.United StatesPCAOB Auditing Standard for Broker-Dealers10 related articlesSEC Regulation D Private Placement ExemptionREG-DSafe harbor exemption under the Securities Act of 1933 allowing companies to raise capital via private offerings without full public registration.United StatesSEC Regulation D Private Placement Exemption11 related articlesSEC Rule 15c3-1 Net Capital StandardSEC-15C3-1Federal rule establishing mandatory minimum net liquid asset requirements for registered broker-dealers to ensure customer and counterparty protection.United StatesSEC Rule 15c3-1 Net Capital Standard11 related articlesSEC Rule 15c3-3 Customer Protection StandardSEC-15C3-3Rule requiring broker-dealers to maintain custody and control over fully paid customer securities and maintain a dedicated cash reserve for customer credits.United StatesSEC Rule 15c3-3 Customer Protection Standard11 related articlesSecurities Investor Protection Corporation (SIPC)SIPCNon-profit corporation created by the Securities Investor Protection Act of 1970 to restore funds and securities to investors in failed brokerage firms.United StatesSecurities Investor Protection Corporation (SIPC)10 related articles