United StatesBroker / capital markets

Licensing readiness assessment

Assessed against Broker-dealer registration and self-regulatory organisation membership, granted by US Securities and Exchange Commission with the relevant self-regulatory organisation and state regulators.

Pending legal and catalogue baseline review. This detail is awaiting the platform claims and legal baseline review (ADM-230). It carries no recorded source or as-of date, so it is orientation only — confirm current requirements with US Securities and Exchange Commission with the relevant self-regulatory organisation and state regulators.

Review the United States requirements first

Step 1 of 3

0 of 9 questions answered

Regulatory perimeter

The first question is whether the activity needs a licence at all, and which one.

How clearly is the regulated activity defined?

We know the specific permission we needWe have narrowed it to two or three optionsWe are not sure which permission applies

Are you already carrying on the activity?

No, we will start once authorisedYes, under an exemption or partner permissionYes, without a licence or exemption

Is the jurisdiction decided?

Yes, decidedWe are comparing jurisdictions

Answer the questions in this step to continue.

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