The SRO and State Regulators Directories provide listings of self-regulatory organizations (SROs) and state regulators' offices so that firms may obtain information related to state-specific broker/dealer filing requirements.
- SRO Directory
- State Regulators Directory (NASAA)
- SRO/Jurisdiction Fee and Setting Schedule – Web CRD (PDF 104 KB)
Please contact the Gateway Call Center at (301) 590-6500 with questions or comments.