Institution record
TradeZero
TradeZero International
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (firms with licence warnings, enforcement flags or complaints) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
IIROCTier-1 Investment Industry Regulatory Organization of Canada | Number pending check | Regulated | TradeZero Canada Securities ULC | 2020 | |
SECTier-1 U.S. Securities and Exchange Commission | 8-69736 | Regulated | TRADEZERO AMERICA, INC. | 2019 | |
FINRATier-1 Financial Industry Regulatory Authority | 282940 | Regulated | TRADEZERO AMERICA, INC. | 2019 | |
SCBOffshore Securities Commission of The Bahamas | Number pending check | Registered | TradeZero International | 2015 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing TradeZero against peer institutions in our firms with licence warnings, enforcement flags or complaints dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| TradeZero (this record) | IIROCSECFINRA+1 | 3 / 4 | Risk level not supplied | — | 0 |
| CMCMarkets | BaFinFCAFMA+3 | 5 / 6 | Risk level not supplied | — | 0 |
| Pepperstone | BaFinCYSECSCB+3 | 4 / 6 | Risk level not supplied | — | 0 |
| INFINOX | FCAFSCSCB | 2 / 3 | Risk level not supplied | — | 0 |
| London | CyFOFCASCB | 1 / 3 | Risk level not supplied | — | 0 |
| PLOTIO | SCB | 0 / 1 | Risk level not supplied | — | 0 |
TradeZero: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is TradeZero's regulatory licence status and supervisory authorisation?
In our imported dataset, TradeZero (legal entity reference: TradeZero International) holds 4 recorded licence entries, of which 3 carry a "regulated" status and 4 are marked regulated or registered: IIROC (Investment Industry Regulatory Organization of Canada) — licence Number pending check, status: regulated, Tier-1; SEC (U.S. Securities and Exchange Commission) — licence 8-69736, status: regulated, Tier-1; FINRA (Financial Industry Regulatory Authority) — licence 282940, status: regulated, Tier-1; SCB (Securities Commission of The Bahamas) — licence Number pending check, status: registered, Offshore. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official IIROC, SEC, FINRA public register.
Which of TradeZero's jurisdictions and licences fall within this site's regulatory coverage?
TradeZero is registered at 67 35th Street, Suite B450 Brooklyn, NY 11232 / 436 West Bay Street, Cable Beach, Nassau, Bahamas and tracked under our firms with licence warnings, enforcement flags or complaints scope based on its institutional service profile (CFDs, Precious metals, Stock indices, Forex) rather than a domestic focus licence. Its 4 recorded licences (IIROC, SEC, FINRA, SCB) should be evaluated for cross-border passporting and local solicitation rules.
What is TradeZero's institutional risk classification, enforcement exposure, and score profile?
TradeZero carries a "risk level not supplied" classification in the source dataset (composite numeric scores are not supplied for this record). The record flags 0 regulatory warning or complaint counts. Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to TradeZero's platforms, entity structure, and complaints?
Before allocating capital or executing trades with TradeZero, institutional and retail allocators should: (1) confirm the domain (tradezero.com) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to IIROC.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from RegTech Codex relevant to TradeZero's supervisory scope.
Clone Firm Detection & Register Audits
SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds ($2.3B Cumulative SEC Fines (95 Actions) Benchmark)
SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping (SEC-RULE-17A4-2042) stands at $2.3B (Cumulative SEC Fines (95 Actions)) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing initi
EU MiCA & DORA Compliance
SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping: Supervisory Reporting Timelines, Technical Standards & Audit Trails ($2.3B Cumulative SEC Fines (95 Actions) Benchmark)
SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping (SEC-RULE-17A4-2042) stands at $2.3B (Cumulative SEC Fines (95 Actions)) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing 4-hou
Global Enforcement & Licensing Rules
SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping: Enforcement Penalties, Sanction Ceilings & Self-Reporting Mitigation ($2.3B Cumulative SEC Fines (95 Actions) Benchmark)
SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping (SEC-RULE-17A4-2042) stands at $2.3B (Cumulative SEC Fines (95 Actions)) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing recen
Prudential Capital & Client Money Segregation
SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping: Client Asset Segregation, Daily Reconciliation & Insolvency Protection ($2.3B Cumulative SEC Fines (95 Actions) Benchmark)
SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping (SEC-RULE-17A4-2042) stands at $2.3B (Cumulative SEC Fines (95 Actions)) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing statu