There are only a select group of brokers regulated by the United States Securities and Exchange Commission. The commission is currently led by the newly appointed Chairman, Mr. Mark T. Uyeda. Under Uyeda’s leadership, the SEC follows the Administrative Procedure Act to conduct rulemaking for the markets. As an investor, the regulation provides protection from fraudulent activities and misconduct. The agency promotes fairness and efficiency. Regulated platforms and dealers must register with the Securities and Exchange Commission and stay compliant to execute securities transactions. In this post, we’ll cover the top regulated firms that are safe for trading.
Interactive Brokers
Interactive Brokers is a global financial firm regulated by the US Securities and Exchange Commission. The platform offers investment products and services for investors. As a trader, you can start forex trading using Interactive Brokers charting tools and market scanners.
IBKR is an licensed firm servicing individual and institutional investors with a wide range of financial services. The brokerage is overseen by the Securities and Exchange Commission federal agency’s regulations, rules, and guidance. IBKR must comply with the following acts:
- Securities Echange Act of 1934
- Investment Advisers Act of 1940
In order to stay compliant, Interactive Brokers must disclose their books, records, and transactions upon examination. The broker dealer is also responsible for maintaining customer protection, minimum capital holdings, and AML programs. During an examination, if there are any concerns or risks found, the regulatory bodies may take corrective action to enforce the laws against any potential violations. With a stringent compliance and regulatory approval, Interactive Brokers is a safe US-based tradingview broker to trade with.
Choose Interactive Brokers, the Securities and Exchange Commission licensed brokers in the markets. The IBKR is a U.S. broker registered under the name ‘Interactive Broker LLC.’ The platform is regulated by CFTC, and FINRA in the United States. This higher level of regulation ensures a degree of investor protection and credibility. You can access over 150 markets worldwide to diversify your investment. Their extensive portfolio allows you to trade in stocks, ETFs, cryptocurrencies, bonds, options, forex, and futures.
The IBKR company also supports robo-advisors and various indicators allowing you to build a successful automated strategy. Moreover, the platform adheres to strict regulations set by NYSE, FINRA, and SIPC. Surely, start trading using this Securities and Exchange Commission approved firm in markets.
E-toro Regulation
Choose the best SEC-register Etoro platform in the US. Etoro is a dealer registered with the U.S. Securities and Exchange Commission . This platform is a global entity that follows all the local regulatory frameworks. As a US client, you can open your broker account at eToro USA LLC. You can enjoy Securities and Exchange Commission and FINRA protection in the United States. Moreover, the SEC and FINRA Regulator provide investment protection up to $500,000, including $250,000 for cash. Etoro don’t provide investor protection on cryptocurrency trading. The dealer also operate in several countries by financial authorities such as CySEC in European countries, FCA in UK, ASIC in Australia, FSAS in Seychelles and ADGM in UAE. Definitely, check out Etoro broker review which is approved in United States.
Tastytrade
Tasty trade is an another SEC licensed firm in the US. Tasty Trade was established in 2017 and registered with top tier regulatory authorities in the US. Tasty Trade is supervised by Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA). Under their supervision, the company is required to follow the client fund segregation rule. This rule ensures the safety of investors by the legal requirement of keeping the clients’ funds and assets separate from the broker’s equity. So, in-case the broker goes bankrupt, your funds remain untouched to settle their financial debt. Surely, Tasty Trade is among few SEC regulated to choose from the best forex broker in the word.
Charles Schwab
Charles Shwab is another reputable, recognized, and SEC-approved brokerage serving the United States markets. Execute profitable transactions across four robust platforms and three responsive mobile apps – which seamlessly cater to unique trading needs & requirements.
In addition to convenient market access, Charles Schwab stands out for reliable 24/7 client support, quality research tools, and strong industry reputation. If you’re a beginner, take advantage of an expensive instrument selection – including fractional shares, futures, and global forex currencies.
> Keep in mind, Charles Schwab imposes a low interest rate on uninvested capital sitting in your portfolio.
Access SEC-licensed trading capabilities with recommended company like Charles Schwab.
Vanguard
If you’re prioritizing SEC-regulated, US-markets-approved firm – factor Vanguard into your search. Once you invest in firm-managed Vanguard funds, you’ll instantly become a fractional owner of the company. Operating in the United States, Vanguard offers secure index mutual funds, powerful online investor portals, and high-quality educational content. Further, the portal stands out for low-cost services, reasonable fees, and competitive expense ratios.
> If you’re trading options, assignments start at $1 per contract on portfolios with less than $1M in current value.
Consider trusted, well-known regulated platform like Vanguard for success in the markets.
Firstrade
Firstrade is another experienced, well-known, and SEC-authorized broker to analyze for trading in the US markets. Established in 1985, Firstrade stands out for 35+ years in the United States financial markets. Seamlessly trade a diverse range of stocks, bonds, ETFs, and mutual funds from the USA’s most notable exchanges. If you’re just getting started, take advantage of supportive educational content, videos, tutorials, and resources to strengthen your expertise.
> Plus, execute profitable transactions without expensive commissions or trading fees.
Start your markets copy trading for beginners journey with reputable licensed brokers like Firstrade.
Webull
Webull is another strictly regulated market broker under the US Securities and Exchange Commission. The dealer handles and protects your investments with complete transparency, making it among top-tier regulatory commissions. Along with US, the brokerage operates worldwide, approved with authorities like SFC in Hong Kong, China.
You can leverage and protect your investments with client fund segregation feature offered by Webull. The funds are stored separately from the dealer’s account, making your funds entirely off-limits for settlement during a bankruptcy scenario. Citizens are entitled with a protection amount up to $500,000 with a $250,000 cash limit by Securities Investor Protection Corporation (SIPC). The protection mainly applies to the stock market, bonds, and mutual funds with registered contracts and limited partnerships. Citizens can leverage this authorized dealer for safe and secure long-term investments.
Webull is another regulated brokerage – approved by the Securities & Exchange Comission. Ensure your assets are handled with top-tier regulation, transparency & integrity. In addition to global regulation, Webull safeguards client funds to promote investment security.
Moomoo
Moomoo is another best SEC-approved platform in the US markets. The Moomoo is an approved app-based investment website. You can invest in Chinese, Singaporean, Hong Kong, Australian, and US stocks using their user friendly dashboard. The company is an excellent choice for new and experienced traders to build a diversifying portfolio. Moomoo portal is also regulated by top-tier authorities such as FINRA, MAS, ASIC, and SFC. This provides a high level of investor protection and safety to funds. The traders can deposit the amount in USD, HKD, and SGD currencies on their accounts. You can even do margin trading with this broker. Moreover, the platform offers zero-deposit accounts, bonuses and access to pre-market trading hours.
Alpaca Trading
Alpaca is among the top tier companies with investment protection offered by the US market exchange commission. For long term investors and traders, Alpaca offers web-based API and charting tools with algo, stock and option trading available. You get withdrawal options via bank and AHC transfers for secure transactions. During period of debt, your funds remain secure and protected via SIPC for up to $500,000. Further, Alpaca provides surplus insurance by SIPC covering up to $150 million across all securities accounts. Once the invested balance goes negative, you are no longer protected by the Alpaca Securities LLC. The dealer also provides active support on GitHub and slack community forums. You are always recommended to test out the service support and platforms before selecting a trading organization. Surely, leverage fund protection offered by the security commission on this trading company.
Merrill Edge
Merrill Edge is another reputable, regulated Brokerage Platform. The broker is supervised by top tier regulators like Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) in the US Market. As a subsidary of Bank of America, Merrill Edge protects your funds through a segregation mechanism, keeping investor assets separate from the broker’s operational funds.
Additionally, you can also use SIPC (Securities Investor Protection Corporation) coverage which protects up to $500,000, including a $250,000 limit for cash holdings. However, you are not protected by the coverage if you have a negative balance.
Moreover, the company provides you with the access to the stock market, offering a wide variety of financial instruments such as stocks, ETFs, mutual funds, and bonds. Merril Edge offers you a commission-free stock and ETF trading in the stocks market.
>As a beginner or an experienced trader, leverage its low fees to construct diversified portfolios with the US stocks market.
> As a US trader, you can also benefit from it’s $0 minimum deposit fee along with $0 withdrawal fee.
Indeed, start your journey with a recommended broker with regulation like Merrill Edge.
Fidelity
Fidelity is another recognized & approved broker to leverage in the US Markets. Choose Fidelity to access powerful research tools and flexible trading platforms – backed by stringent national oversight. Fidelity streamlines Securities and Exchange Commission regulated trading with intelligent technology, professional insights, real-time market data, and award-winning mobile apps. This way, you can eliminate guess work, unlock opportunities, and maximize control.
> If you’re an experienced trader, leverage Fidelity Baskets to construct a diversified portfolios with stocks, ETFs, and other assets – then manage it as a single holding.
When you’re ready to take profits, seamlessly sell securities with $0 commissions. Choose Fidelity as your approved, US trading brokerage.
Robinhood
Robinhood is another reputable licensed brokerage trusted by traders across the United States. As a Robinhood client, you can trade with intuitive, user-fiendly, and powerful tools – designed to empower both beginners & experts. For security, accounts are covered up to $50M – extending beyond the industry-standard Securities Investor Protection Corporation (SIPC) coverage requirements. In addition to SEC regulation, Robinhood remains a member of the Financial Industry Regulatory Authority (FINRA).
> Unlock opportunities around-the-clock with Robinhood’s 24-hour market – the only place where you can trade AAPL, AMZON, TSLA, and popular ETFs 24/5 in the United States.
Join Robinhood’s recognized platform for regulated Market trading.
Verify If the Broker is Regulated
Once you’ve found an licensed broker, you are ready to verify regulation. Confirm current statuses and approval data on the Securities & Exchange Commissions website. Once you’re on the site, here’s how to quickly & easily analyze broker regulation:
- Open Investment Advisor Public Disclosure (IAPD)
- Enter firm Name Or Registration Number
- Check Your Platform In Results
> Visit BrokerCheck for the full details – including authorized services, registration, and regulatory status. Any potential license violations or disciplinary actions will be listed here as well. This reputable network is powered by the Financial Industry Regulatory Authority (FINRA).
Before executing your first trade, verify that your company is licensed & regulated.
TD Ameritrade
TD Ameritrade is another licensed platform in the US. The platform is regulated by top authorities such as SEC, CFTC, FINRA, MAS and IIROC. As a US trader, you can open your account at TD Ameritrade. The Securities and Exchange Commission ensures that your funds are secure with the broker. With TD platform, you can start trading in pairs, stocks, futures, options, and bonds at low cost. You can trade commission-free using stocks and exchange-traded funds. Moreover, traders can open margin accounts to enjoy purchasing power of 2:1 leverage. Surely choose the TD-Ameritrade-approved forex brokers to start trading in the markets.
Zacks Trade
Choose Zacks Trade SEC-licensed platform to start trading in the US market. The Zacks-Trade is a fully regulated broker overseen in the USA. The platform operates under very strict rules that ensure the funds’ security. Zacks Trade is required to keep client assets separately from its operational funds. The segregation helps you to protect your money if the broker incurs financial loss. You can start trading on this platform with a minimum deposit of $250. The stock and options trading fees are comparatively low on this platform. Definitely, start trading with Zacks Trade regulated forex brokers to trade in markets.
Ally Invest
Ally Invest is another SEC-regulated broker in the US Market. The platform allows United States traders to trade in stocks, ETFs and options. You don’t need to pay any commission on trading these instruments. The broker can be easily integrated with Ally Bank for easy fund addition. As a beginner or an experienced trader, you can leverage their user-friendly platform. The broker holds a clean track record with the Securities and Exchange Commission in the US. Moreover, the platform supports investors’ protection of $500k and cash up to $250k. Surely start trading with the best-regulated forex broker Ally Invest.
Why Choose an SEC Approved Broker?
Understand why you choose an SEC-approved broker to trade in US markets. The Securities and Exchange Commission observes whether the broker is following all laws, norms, rules, and requirements. Check out some of the important tasks the authority looks in forex market:
- Enforces federal security law to protect investors.
- Oversees regulators and auditors.
- Stops market manipulation
- Educates investors on risks and rights.
- Ensures all licensed entities must operate transparently
You can verify if the broker is licensed or not on the official website. Surely choose the regulated broker to start forex trading in the USA market.
