Financial regulators, national licensing qualifications & public registers

Americas Firm Ledger tracks 33 supervisory authorities relevant to financial institutions and registrants headquartered in the united states and canada (5 Tier-1 prudential/G10 supervisors, 28 Tier-2 national supervisors, 0 Tier-3 regional/specialized authorities, and 0 offshore centres), of which 0 currently have licensed institutions on file in our dataset (1 total licence records) and 33 include a direct public register verification URL.

Click any regulator’s name or "Full Dossier →" to inspect its national licensing classes, minimum capital rules, and investor compensation limits, or use the "Register ↗" link to open its official public register. Search by the exact licence/reference number and confirm that the legal entity name, registered address, approved website domain, and permitted retail or institutional activities match the firm you are dealing with.

Tier-1 G10/prudential authorities (such as FCA, SEC/FINRA, CFTC/NFA, BaFin, FINMA, MAS, ASIC, JFSA, and SFC) enforce strict initial capital adequacy, daily client money segregation, and statutory investor compensation schemes. Tier-2 national supervisors maintain domestic conduct and prudential standards, while Offshore centres offer streamlined international business company licensing with lighter capital and no statutory compensation fund.