Onshore · SEC / FINRA
SEC and FINRA broker-dealer registration in the United States
Registration as a broker-dealer with the SEC and FINRA is among the most demanding permissions in global finance, and among the most valuable. It opens the world’s deepest capital market to firms prepared to meet its standards, and signals a level of compliance maturity that few jurisdictions can match.
The regulator
A US broker-dealer registers with the Securities and Exchange Commission and becomes a member of FINRA, the self-regulatory organisation that supervises the industry day to day. The membership process is rigorous, with detailed scrutiny of principals, supervision, net capital, and written supervisory procedures.
What the licence permits
Regulated under the SEC / FINRA
- Operate as a registered US broker-dealer
- Effect transactions in securities for clients and for own account
- Access the world’s largest and deepest capital market
Who it suits
Serious, well-resourced firms committed to the US market and prepared for its compliance bar.
Market access
Direct access to US clients and the deepest capital market in the world.
What to weigh
This is the most demanding route on our list and is not a quick or light undertaking. It rewards firms with genuine US ambitions and the resources to meet FINRA’s expectations.
We run the United States application end to end
Whether you build from new or acquire an existing licensed entity, BrokLicense handles incorporation, the regulator application, the AML and compliance framework, banking and liquidity introductions, and the trading stack. You stay the principal. We do the work, in confidence, and stay on for compliance once you are live.
Cost, capital, and timelines depend on your model and are set out in a first consultation, under NDA, not published here.
Other permissions in United States
Related reading
- How to Start a Forex Brokerage: The Parts Nobody Tells You AboutStarting a brokerage is not one decision. It is a licence, a structure, banking, liquidity, and a platform, in the right order. Here is what it involves.
- How to Choose the Right Jurisdiction for Your BrokerageThe cheapest licence is rarely the right one. Choosing a jurisdiction is about your clients, your banking, and your ambition, not the lowest sticker price.
- Regulated vs Unregulated Broker: Why the Licence Is the BusinessOperating without a licence can look cheaper and faster. It also caps what your business can ever become. Here is what regulation actually buys you.
Other Americas jurisdictions
All jurisdictionsDiscuss your mandate in confidence
Every engagement begins under a mutual NDA. Set out the firm you intend to operate and the timeline you are working to, and you leave the first consultation with a recommended jurisdiction, the route to the licence, and a defined scope of work.
Prefer email? info@broklicense.com