SEC / FINRA

What a Tier 1 regulator means

Major-market regulator with a statutory investor-compensation scheme, strict capital and client-money rules, and an active enforcement record. We use this tier in the regulation part of every Editor Rating. How regulator tiers work.

Where a SEC / FINRA licence counts on Coinish

It is the local regulator for United States: a company licensed by SEC / FINRA counts as locally licensed there.

How to check a SEC / FINRA licence

1. Open the SEC / FINRA public register and search for the company name or licence number shown in the broker’s website footer.
2. Check the legal name matches the company named in your account agreement: brokers often run several companies under one brand.
3. Check the licence is current and covers the service you want (for example dealing in CFDs or holding client money).

Lists where SEC / FINRA-licensed companies are ranked

Forex brokers in the United States (1) · Stock brokers & investing apps in the United States (9)