Broker Regulatory Agencies

Financial Regulation Bodies for Brokers

This article provides information about the regulatory bodies that are responsible for overseeing broker activities in a number of principal financial jurisdictions. Using a regulated broker is one of the key steps in ensuring the security of your funds.

Though it offers no absolute guarantee of the safety of your trading capital or the ability of a broker to meet your transaction requirements, the regulation of a broker by the bodies listed here is generally considered to provide an indication of transparent and safe conduct. Please note that this list is not exhaustive – check to see if a regulatory body operates in the country where your broker is registered.

United States National Futures Association (NFA)
Commodity Futures Trading Commission (CFTC)
Securities Exchange Commission (SEC)
Financial Industry Regulatory Authority (FINRA)
United Kingdom Financial Conduct Authority (FCA)
Prudential Regulation Authority (PRA)
Australia Securities and Investment Commission (ASIC)
Switzerland Swiss Federal Banking Commission (SFBC)
Germany Bundesanstalt fur Finanzdienstleistungsaufsicht (BaFin)
France Autorité des Marchés Financiers (AMF)
Cyprus Cyprus Securities and Exchange Commission (CySec)
New Zealand Financial Markets Authority (FMA)
Find the best broker for your trading requirements: Regulated Brokers