The U.S. Securities and Exchange Commission (SEC) is the federal agency responsible for regulating the U.S. securities markets. While the SEC does not directly regulate retail forex trading, it plays a significant role in supervising forex-related securities, currency ETFs, and investment products tied to foreign exchange markets. The SEC also enforces strict rules on broker-dealer conduct and investor disclosures.
The SEC plays a critical role in overseeing U.S.-based forex-linked securities, ensuring transparent disclosures and fair conduct by investment firms and brokers. While not a direct regulator of spot forex trading, the SEC provides crucial protections for investors engaging with FX exposure through ETFs, structured products, and mutual funds.
- Regulates forex-linked securities and ETFs (e.g., currency mutual funds, exchange-traded notes)
- Enforces disclosure and conduct rules for brokers offering currency investment products
- Coordinates with the Commodity Futures Trading Commission (CFTC) and FINRA to prevent forex-related fraud
- Investigates securities violations involving forex schemes or misleading promotions
- Use the SEC EDGAR Database for filings
- Check broker-dealer registration via FINRA BrokerCheck
- For ETFs or FX-linked mutual funds, search the fund prospectus
Country
Philippines
Established
1934
Contact
+1 800-732-0330
Complaint bodies
U.S. Securities and Exchange Commission (SEC), CFTC – for retail forex trading violations, FINRA – for broker-dealer misconduct
Hotline
+1 800-732-0330
Last updated on: March 28, 2025
High Risk Warning : Please note that foreign exchange and other leveraged trading involves significant risk of loss. It is not suitable for all investors and you should make sure you understand the risks involved, seeking independent advice if necessary.