Stock Broker Regulatory Bodies
Stock regulators are government authorities that license and oversee brokers, setting capital requirements and enforcing rules that protect investors. Tier 1 regulators (such as the SEC, FCA, and ASIC) offer the strongest investor protections. Browse by regulator to find brokers operating under a specific jurisdiction.
Tier 1 Regulators: Highest Investor Protection
Tier 1 regulators impose strict capital requirements, segregated client funds, and investor compensation schemes. Choosing a broker regulated by one of these bodies gives you the strongest legal safeguards.
ACPR
AFM
ASIC
BAFIN
CBI
CFTC
CMVM
CNB
CNMV
DFSA
FCA
FINMA
FMA-NZ
FSC-KR
FSC
FSCA
FINANSINSPEKTIONEN
FINANSTILSYNET-DK
FINANSTILSYNET-NO
IIROC
JFSA
KNF
MAS
SEBI
SFC
Romania
Cyprus
Bulgaria
Greece
Malta
Hungary
Chile
Argentina
Belize
Saudi Arabia
Seychelles
Indonesia
Bahamas