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United StatesEach broker on this page is authorised by the U.S. Securities and Exchange Commission (SEC), the Tier 1 financial regulator for securities and stock brokers in the United States. SEC-regulated firms must comply with strict disclosure and reporting requirements to promote transparency and protect investors. Client fund segregation is mandated, and brokers are subject to ongoing oversight and enforcement actions. The SEC is known for its rigorous enforcement posture and high standards, making it a benchmark for regulatory quality worldwide.
Verify on official register
Check a broker’s licence status directly on the SEC register.
Interactive Brokers offers unrivalled market access and the lowest commissions in the industry for active stock traders. The TWS platform is extremely powerful but has a steep learning curve for beginners.
Fidelity's zero-expense-ratio index funds, commission-free trading, and Active Trader Pro platform make it the most compelling long-term investing home for US investors who want institutional fund management alongside serious trading capability, all under one roof with no account minimum.
Charles Schwab combined the scale and financial stability of a century-old brokerage with TD Ameritrade's thinkorswim platform, giving US investors commission-free trading alongside institutional-grade analytical tools that no standalone fintech broker has replicated.
SEC is classified as a Tier 1 regulator. Highest level of investor protection with strict capital requirements and segregated client funds.
We currently list 7 stock brokers regulated by SEC. The full list is shown above, sorted by overall trader rating.
SEC is based in United States and covers the United States jurisdiction. As a Tier 1 regulator, it enforces strict capital adequacy, client fund segregation, and compensation schemes, making it one of the safest options for retail investors.
Visit the official SEC website and use their public register or licence verification tool. Enter the broker's registered name or licence number to confirm its status. This is the most reliable way to check a broker's regulatory standing.
Compensation availability depends on the specific rules of SEC in United States. Tier 1 regulators typically operate investor compensation schemes covering a portion of client funds. Check the regulator's official guidance for current limits and eligibility criteria.
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