Institution record
E TRADE
E TRADE Securities LLC
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (banks and deposit-taking institutions) are listed first. Check each one on the regulator's own register.
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing E TRADE against peer institutions in our banks and deposit-taking institutions dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| E TRADE (this record) | NFA | 0 / 1 | Risk level not supplied | — | 0 |
| MUFG Bank | PRAOCCHKMA+4 | 7 / 7 | Risk level not supplied | — | 0 |
| Deutsche Bank AG | FRSECBPRA+1 | 4 / 4 | Risk level not supplied | — | 0 |
| American Express | FRSOCCFDIC | 3 / 3 | Risk level not supplied | — | 0 |
| BofA | FDICFRSOCC | 3 / 3 | Risk level not supplied | — | 0 |
| Citibank, N.A. | OCCFDICFRS | 3 / 3 | Risk level not supplied | — | 0 |
E TRADE: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is E TRADE's regulatory licence status and supervisory authorisation?
In our imported dataset, E TRADE (legal entity reference: E TRADE Securities LLC) holds 1 recorded licence entry, of which 0 carry a "regulated" status and 0 are marked regulated or registered: NFA (National Futures Association) — licence 0320906, status: suspected clone, Tier-2. 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 NFA public register.
Which of E TRADE's jurisdictions and licences fall within this site's regulatory coverage?
E TRADE is registered at PO Box 484 Jersey City, NJ 07303-0484 Harborside 2 200 Hudson Street, Suite 501 Jersey City, NJ 07311-1113 and tracked under our banks and deposit-taking institutions scope based on its institutional service profile (Stocks, Futures, Options, Investment) rather than a domestic focus licence. Its 1 recorded licence (NFA) should be evaluated for cross-border passporting and local solicitation rules.
What is E TRADE's institutional risk classification, enforcement exposure, and score profile?
E TRADE 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 and 1 licence record with elevated status flags (NFA: suspected clone). 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 E TRADE's platforms, entity structure, and complaints?
Before allocating capital or executing trades with E TRADE, institutional and retail allocators should: (1) confirm the domain (not supplied in source) 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 NFA.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from FinLexicon Wiki relevant to E TRADE's supervisory scope.
Statutory Law & Custody Architecture
Statutory Client Asset Segregation & Insolvency Waterfalls: Comparative Legal Architecture of FCA CASS 7, SEC Rule 15c3-3, SIPA, and EU MiFID II Custody Regimes (2026)
A definitive statutory and insolvency-law reference comparing UK FCA CASS 7 statutory trusts, US SEC Rule 15c3-3 customer reserve formulas and SIPA liquidations, EU MiFID II Article 16(8)-(10) title-transfer prohibitions, and Japanese FIEA Article 43-2 trust bank mandates.
Derivatives Margin & Prudential Regulation
ISDA 2026 SIMM Risk Weights, Uncleared Margin Rules (UMR) Thresholds & VM/IM Collateral Eligibility
ISDA Standard Initial Margin Model (SIMM) refers to a parametric, sensitivity-based methodology calibrated across a 10-day margin period of risk (MPOR) at a 99% confidence interval to calculate regulatory initial margin for non-centrally cleared over-the-counter (OTC) derivatives under BCBS-IOSCO Uncleared Margin Rules (UMR).
Market Microstructure & Derivatives Taxonomy
U.S. Treasury Central Clearing Mandate & FICC Sponsored Repo: Done-With vs. Done-Away Clearing Mechanics
U.S. Treasury Central Clearing Mandate refers to SEC Rule 17ad-22(e)(18) requiring FICC central clearing for eligible Treasury cash trades by December 31, 2026 and repos by June 30, 2027.
Prudential Regulation & Capital Standards
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard: Statutory Definition, Regulatory Scope & Compliance Deadlines (-4.8% Cat I/II CET1 Change Benchmark)
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard (BASEL-ERBA-2026) stands at -4.8% (Cat I/II CET1 Change) (Source: Federal Reserve / OCC / FDIC, 2026-10-20), governing exact rule citations, covered entities