Licence/statusSEC-registered U.S. broker-dealer
RoleU.S. securities broker-dealer supervision
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United States
SEC — U.S. Securities and Exchange Commission
The SEC regulates U.S. securities broker-dealers. SEC broker-dealer registration must not be treated as CFTC/NFA retail-forex authorisation.
Official regulator website ↗Forex/CFD oversight strength98/100Comprehensive oversightThis score measures retail forex/CFD supervisory strength, including licensing depth, client-money and conduct rules, enforcement, complaints/compensation and whether the authority actually licenses this activity.
Verified relationships
Brokers connected to SEC
Licence/status8-41551
RoleRelated Doo Financial securities broker-dealer; not D Prime CFD onboarding
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Licence/status8-39420
RoleFederal broker-dealer registration, paired with FINRA CRD 21946
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Licence/statusSEC 8-70811
RoleCurrent U.S. securities broker-dealer registration for equities/ETFs; not evidence of CFTC/NFA retail-forex or CFD authorisation.
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