Brokers WatchRegulators
    Back to Regulators
    Tier 3
    Government Agency

    Securities and Exchange Commission (SEC)

    United States Est. 1934 sec.gov

    The primary US regulator for securities markets, protecting investors, maintaining fair and efficient markets, and facilitating capital formation.

    15
    Poor

    Regulated Companies (0)

    No companies currently regulated.

    Key People

    No key people listed yet

    User Reviews

    No reviews yet. Be the first to share your experience!

    SEC FAQ

    Regulator Meter

    15/100
    Offshore
    High-Risk
    UnverifiedMid-TierTop-Tier

    2/7 disclosure criteria met

    Risk signals detected

    • No public license register
    • Client funds not required to be segregated
    • No public enforcement actions
    • Weak enforcement track record
    • Weak customer protection

    Regulatory Scope

    authorization
    regulation
    supervision

    Quick Facts

    CountryUnited States
    Established1934
    Organization TypeGovernment Agency
    TierTier 3
    CompensationSIPC up to $500,000
    Required CapitalVaries by registration
    Companies Regulated0