Jurisdiction
Securities and Exchange Commission and FINRA is the financial regulator of United States. Its licence applies to the broker entity registered there and to the clients that entity serves.
Role
Regulates securities broker-dealers in the United States, including those offering shares and options alongside forex.
Segregated client money, negative balance protection and a compensation scheme or its equivalent.
Licence verification
Search the SEC/FINRA register by the firm's legal name or licence number, confirm the licence is current and covers dealing in forex or CFDs for retail clients, and compare the website listed with the one you are using.
Open the SEC/FINRA register (opens in a new tab) SEC/FINRA website
Client protections
Compensation: SIPC protection for securities accounts, up to $500,000.
| Tier | Tier one: Segregated client money, negative balance protection and a compensation scheme or its equivalent. |
| Compensation | SIPC protection for securities accounts, up to $500,000 |
Brokers regulated by SEC/FINRA
1 broker in our database holds a SEC/FINRA licence through at least one entity. The licence applies to that entity only; check which one serves your country.
Regulatory facts are the authority's own published position at the last check. Verify any licence on the register before depositing.