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.
Read ReviewSEC
Last updated
1
Regulated Brokers
Country
United StatesJurisdiction
United States
Tier
Tier 1
Highest level of investor protection with strict capital requirements and segregated client funds.
Max Leverage
No mandated cap
This regulator does not publish a mandated retail leverage limit.
Official Website
sec.gov
The US Securities and Exchange Commission is the world's foremost securities market regulator, established under the Securities Exchange Act of 1934. The SEC oversees all US-registered securities broker-dealers, investment advisers, and exchanges, setting disclosure, capital adequacy, and conduct standards that define the global benchmark for investor protection. Unlike FINRA - which is a self-regulatory body operating under SEC supervision - the SEC is a federal government agency with direct enforcement and rulemaking authority. Broker-dealers registered with the SEC must also be FINRA members; the two licences are complementary, not interchangeable. For brokers offering equities, options, and US-listed securities, SEC registration is the primary federal licence that matters.
Verify on official register
Check a broker's licence status directly on SEC's public register.
SEC Regulated Stock Brokers
1 broker
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Find my brokerFrequently Asked Questions
SEC is classified as a Tier 1 regulator. Highest level of investor protection with strict capital requirements and segregated client funds.
We currently list 1 stock broker 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.