The details on this page about The Financial Industry Regulatory Authority were compiled from the regulator’s own official documents, its website and other public sources, and are presented as neutral, factual guidance.
If you believe something here is inaccurate, or you spot a critical problem, please let us know via Contact us.
Regulator Performance Overview
600
100
19
0
0
1
Insurance coverage protecting client deposits and funds
Requirement for client funds to be held separately from company funds
High
Tier 1
Broker‑Dealer (SRO) Membership
USD 150000+
Detailed assessment of regulatory capabilities and effectiveness
Detailed breakdown of the 6 key regulatory performance indicators
Value and prestige of licenses issued by this regulator
This regulator shows excellent performance with an overall score of 100.
Strongest performance in License Value
Transparency Level: high
Global Tier: tier1
Follow us
Protection against negative account balances in trading
Access to qualified investment professionals and advisory services
Government-regulated
North Korea - Iran - other sanctioned countries
United States
USA - North America - limited global clients
North Korea - Iran - other sanctioned countries
Retail Agency (STP); Market Maker (Principal); Provide Liquidity (PoP)
Not Available (Yes (BrokerCheck))
FINRA Arbitration
1:50
Information not available
Contact regulator for details
International Organization of Securities Commissions
Member of the global body that brings together the world's securities regulators
Financial Action Task Force
Member of the inter-governmental body that sets standards for combating money laundering
Commitment to international standards for anti-money laundering and counter-terrorism financing
Effectiveness of regulatory framework and enforcement
Institutional strength and organizational capability
Risk assessment and management protocols
Investor protection measures and safeguards
Client fund protection and insurance coverage
The Securities and Futures Bureau (SFB), established in 2004, is one of Taiwan's key regulatory authorities responsible for policy-making, regulation, and development of Taiwan's capital markets under the direction of the Financial Supervisory Commission (FSC) of Taiwan.
The SFB's primary objectives are to facilitate Taiwan's national economic growth, ensure and maintain the sound developmental direction of securities and futures markets, promote fair trading in these markets, and safeguard the rights and interests of both investors and traders.
The SFB has essential responsibilities to create and maintain financial policies, laws, and regulations, as well as to supervise domestic and international activities in the capital markets.
As the executive unit for the FSC, the SFB is focused on establishing a competitive, transparent, and innovation-oriented financial environment, enabling investors, companies, and financial institutions to operate with confidence in a well-regulated financial system.
Brokers authorized and regulated by this authority
Hong Kong
United StatesUnited States+4 more licensesUnited StatesUnited States
United Kingdom+1 more licensesUnited States
PhilippinesUnited States+1 more licensesHong KongUnited StatesUnited StatesUnited KingdomUnited States
Japan+1 more licensesUnited StatesUnited StatesUnited StatesUnited StatesUnited States
United Arab EmiratesUnited States
Israel+6 more licensesUnited StatesHong KongUnited StatesUnited Kingdom+1 more licenses
ArgentinaUnited StatesUnited StatesUnited StatesUnited StatesUnited Kingdom+1 more licenses
