Securities and Exchange Commission (SEC)

Jurisdiction

Securities and Exchange Commission is the financial regulator of United States. Its licence applies to the broker entity registered there and to the clients that entity serves.

Role

The United States securities regulator.

Segregated client money, negative balance protection and a compensation scheme or its equivalent.

Licence verification

Search the SEC 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.

SEC website (opens in a new tab)

Client protections

Protections are not stated on record; treat the licence as a registration rather than a guarantee.

Brokers regulated by SEC

6 brokers in our database hold a SEC licence through at least one entity. The licence applies to that entity only; check which one serves your country.

AvaTrade 9.2/10

Tier-one regulated Central Bank of Ireland, ASIC, BVI FSC, FSCA, Japan FSA, FFAJ, ADGM FSRA, CySEC, CMA Kenya, Israel Securities Authority

ReviewVisit AvaTrade (opens in a new tab)

Charles Schwab 7.6/10

Tier-one regulated SEC, FINRA, CFTC/NFA for futures, forex

ReviewVisit Charles Schwab (opens in a new tab)

Webull 7.6/10

Tier-one regulated SEC, FINRA, CFTC/NFA for futures

ReviewVisit Webull (opens in a new tab)

LiteFinance 7.4/10

Tier-one regulated CySEC, Mauritius FSC, international SVG entity incorporated but not locally licensed as a securities dealer

ReviewVisit LiteFinance (opens in a new tab)

Tradu 7.3/10

Tier-one regulated FCA, CySEC, ASIC, FSCA, Israel Securities Authority, Seychelles FSA

ReviewVisit Tradu (opens in a new tab)

Orbex 6.9/10

Tier-one regulated Mauritius FSC, Investment Dealer, Seychelles FSA, Securities Dealer

ReviewVisit Orbex (opens in a new tab)

Regulatory facts are the authority's own published position at the last check. Verify any licence on the register before depositing.