Hello! Brokers are subject to a regulatory framework that varies by country or region. In the United States, brokers are regulated by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). These organizations set the rules and standards that brokers must follow, including disclosure, record-keeping, and integrity requirements. Brokers also have a fiduciary responsibility to act in the best interests of their clients, which means putting the interests of their clients ahead of their own, more information. To ensure compliance with these standards, regulators conduct regular inspections and investigations of brokerage activities.
Previous subject
First 