Every industry confronts a unique regulatory framework, in some cases encompassing both government and industry regulators. It is important for researchers to be aware of the varying means of oversight to ensure comprehensive due diligence. In the financial industry, for instance, the New York Stock Exchange hosts an online database of disciplinary actions, which result from internal referrals, investor complaints, examinations of member organizations and referrals from the Securities and Exchange Commission (SEC). The NYSE’s database is another important tool for researchers to add to their toolkit when analyzing subjects with ties to the financial industry (in addition to the SEC’s EDGAR and the Treasury Department’s Financial Crimes Enforcement Network, which we’ve previously written about).