테마별 필러 허브 · 1 건의 브리핑

Regulatory Benchmarks

Regulatory Benchmarks research topics and source records from Americas Firm Ledger. Comprehensive 2026 empirical benchmark covering 43 institutions and 36 competent authorities tracked by Americas Firm Ledger, detailing 6D compliance scores, contracting legal entities, and direct register verification.

핵심 기관 리서치 요약 — Regulatory Benchmarks

Americas Firm Ledger tracks 43 institutions and 36 supervisory authorities across North American Registered Broker-Dealers, Banks & FCMs, with sampled constituents averaging 3.82/10 on the 6D Compliance Index.
Top-ranked benchmark constituents (led by PayPal at 7.5/10) maintain verifiable primary filings and clean enforcement records.
The 6D Quantitative Model weights Licence Standing (30%) and Risk Telemetry (25%) at 55% combined, applying immediate hard caps whenever an official regulator warning is recorded.
Counterparties must verify the exact contracting subsidiary and approved domain rather than relying solely on group-level brand recognition.
All 43 institutional profiles are cross-linked to primary regulator lookup portals, CC-BY-4.0 open datasets, and real-time REST/MCP verification endpoints.

클러스터 리서치 브리핑 목록 — Regulatory Benchmarks (1)

2026-11-05Harrison Kane, JD, CFA

North American Registered Broker-Dealers, Banks & FCMs 2026 Licensing Benchmark: 6D Prudential Scorecard Across 43 Audited Entities

Comprehensive 2026 empirical benchmark covering 43 institutions and 36 competent authorities tracked by Americas Firm Ledger, detailing 6D compliance scores, contracting legal entities, and direct register verification.

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Canada Deposit Insurance Corporation — Canada Deposit Insurance Corporation California Department of Financial Protection and Innovation — California Department of Financial Protection and Innovation Office of the Superintendent of Financial Institutions (Canada) — Office of the Superintendent of Financial Institutions (Canada)Québec Enterprise Registrar — Québec Enterprise Registrar Financial Crimes Enforcement Network (FinCEN) — Financial Crimes Enforcement Network (FinCEN)New York State Department of Financial Services — New York State Department of Financial Services

자주 묻는 질문 (FAQ) — Regulatory Benchmarks

How many regulated institutions does Americas Firm Ledger audit in its 2026 North American Registered Broker-Dealers, Banks & FCMs benchmark?

Americas Firm Ledger currently audits 43 English-verified financial institutions across 36 competent supervisory authorities within its North American Registered Broker-Dealers, Banks & FCMs coverage slice.

How is the 6D Compliance Score calculated on Americas Firm Ledger?

The 6D model combines Licence Standing (30%), Risk Telemetry (25%), Institutional Scale (15%), Industry Footprint (15%), and Execution & User Signals (15%) on a 0.0–10.0 scale, as documented at /methodology.

Why can two clients of the same financial brand receive different regulatory protections?

Global brokerage and exchange groups frequently operate multiple legal subsidiaries across Tier-1 onshore regimes and offshore jurisdictions. Investor compensation, leverage limits, and client-money segregation depend strictly on the specific legal entity named in your onboarding contract.

Where can I verify an institution's licence number directly against official government records?

Every institution dossier and regulator profile on Americas Firm Ledger links directly to the issuing authority's official public register (such as FCA FRN Register, SEC EDGAR, FINRA BrokerCheck, NFA BASIC, MAS FID, or FinCEN MSB Search).

Can AI agents and compliance scripts query Americas Firm Ledger's benchmark data programmatically?

Yes. Americas Firm Ledger provides public REST endpoints (/api/v1/verify/license, /api/v1/verify/domain, /api/v1/brokers/{slug}), an OpenAPI 3.1 specification (/.well-known/openapi.json), and a JSON-RPC 2.0 MCP server (/api/mcp).