List of Broker with SEC Regulation

Under the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act, the CFTC is assigned full responsibility to regulate swaps, and the SEC to regulate security-based swaps.

Continue Reading at CFTC Vs SEC: What are the Key Differences?

 The CFTC regulates investments in commodities to be delivered in the future, while the SEC regulates investments in securities.

Continue Reading at CFTC Vs SEC: What are the Key Differences?

The US Securities and Exchange Commission (SEC) is an independent federal agency that regulates the securities markets with mission of protecting investors, maintaining the markets, and facilitating capital information.

The SEC was founded by Congress in 1934 in response to the stock market crash of 1929. It played a major role in returning billions of dollars to investors following the great recession of 2008 by imposing penalties on responsible financial institutions and individuals.

Continue Reading at CFTC Vs SEC: What are the Key Differences?

Official regulators in the UAE are as follows:

• The Dubai Financial Services Authority (DFSA)
• The Abu Dhabi Global Market (ADGM)
• The Securities Commission Authority (SCA)
• Central Bank of the United Arab Emirates (CBUAE)

It is important to understand that the UAE is divided into two financial areas, namely the Mainland and Free Zones. Brokers who operate in the Mainland are regulated by the SCA or CBUAE. Meanwhile, DFSA and ADGM regulate brokers in the Free Zones, which are designated to encourage foreign investments and allow foreign-owned companies to be located.

Continue Reading at Best Forex Brokers in United Arab Emirates (UAE)