Background Investigations

Optional Background Checks

The OCC will pursue additional background checks when deemed appropriate. Such checks may include, but are not limited to, requests for background information from the:

• CIA.

• Commodity Futures Trading Commission (CFTC).

• Federal, state, and local law enforcement agencies.

• FBI (name check requests).

• Federal Trade Commission.

• Interpol.

• Local court records.

• National Association of Securities Dealers (NASD).

• Newspapers and periodicals.

• Securities Exchange Commission (SEC).

• U.S. Immigration and Naturalization Service.

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