Institution record
StoneX
StoneX Financial Inc.
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (stock brokers, investment platforms and wealth managers) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
SECTier-1 U.S. Securities and Exchange Commission | CRD 136795 / SEC 8-68179 | Regulated | StoneX Financial Inc. | 2015 | |
MASTier-1 Monetary Authority of Singapore | Number pending check | Regulated | StoneX Financial Pte. Ltd. | 2011 | |
ASICTier-1 Australian Securities and Investments Commission | 345646 | Regulated | City Index Australia Pty Ltd | 2014 | |
FCATier-1 Financial Conduct Authority | 446717 | Regulated | StoneX Financial Ltd | 2010 | |
NFATier-2 National Futures Association | 0501390 | Regulated | StoneX Financial Inc. | 2015 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing StoneX against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| StoneX (this record) | SECMASASIC+2 | 5 / 5 | Risk level not supplied | — | 0 |
| Robinhood | FINRASECSEC+6 | 9 / 9 | Risk level not supplied | — | 0 |
| Doo Prime | FCAFINRASEC+4 | 7 / 7 | Risk level not supplied | — | 1 |
| Swissquote | FCASFCCYSEC+3 | 5 / 6 | Risk level not supplied | — | 0 |
| EC Markets | FMAFCAASIC+2 | 3 / 5 | Risk level not supplied | — | 0 |
| IB | IIROCFCAASIC+2 | 5 / 5 | Risk level not supplied | — | 0 |
StoneX: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is StoneX's regulatory licence status and supervisory authorisation?
In our imported dataset, StoneX (legal entity reference: StoneX Financial Inc.) holds 5 recorded licence entries, of which 5 carry a "regulated" status and 5 are marked regulated or registered: SEC (U.S. Securities and Exchange Commission) — licence CRD 136795 / SEC 8-68179, status: regulated, Tier-1; MAS (Monetary Authority of Singapore) — licence Number pending check, status: regulated, Tier-1; ASIC (Australian Securities and Investments Commission) — licence 345646, status: regulated, Tier-1; FCA (Financial Conduct Authority) — licence 446717, status: regulated, Tier-1; NFA (National Futures Association) — licence 0501390, status: regulated, 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 SEC, MAS, ASIC public register.
Which of StoneX's jurisdictions and licences fall within this site's regulatory coverage?
StoneX is registered at 230 S LaSalle St #10-500 Chicago, IL 60604 and tracked under our stock brokers, investment platforms and wealth managers scope based on its institutional service profile (CFDs, Precious metals, Stock indices, Forex) rather than a domestic focus licence. Its 5 recorded licences (SEC, MAS, ASIC, FCA, NFA) should be evaluated for cross-border passporting and local solicitation rules.
What is StoneX's institutional risk classification, enforcement exposure, and score profile?
StoneX 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 StoneX's platforms, entity structure, and complaints?
Before allocating capital or executing trades with StoneX, institutional and retail allocators should: (1) confirm the domain (stonex.co) 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 SEC.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from ETFYield Lab relevant to StoneX's supervisory scope.
ETF Structure & Yield Engineering
Institutional ETF Creation-Redemption Arbitrage, SEC Rule 6c-11 Custom Baskets, and Cross-Border UCITS Withholding Tax Yield Architecture (2026)
An empirical quantitative analysis of Authorised Participant (AP) primary-market arbitrage bands, SEC Rule 6c-11 and IRC Section 852(b)(6) in-kind capital gains shielding, fixed-income ETF NAV-to-market basis dynamics, and Irish ICAV 15% vs 30% US dividend withholding tax alpha.
Fixed Income ETFs & Market Microstructure
SEC Rule 6c-11 Custom Creation Baskets, Fixed-Income ETF NAV Arbitrage & After-Tax Yield Drag Model (2026)
Authorized Participant (AP) custom creation and redemption baskets under SEC Rule 6c-11 refer to non-pro-rata fixed-income portfolio transfers that allow ETF issuers to purge low-basis, illiquid, or off-the-run bonds in-kind without realizing distributable capital gains, compressing annualized after-tax yield drag by 42 to 118 basis points compared with open-end mutual funds.
Treasury Ladders & Yield Math
SGOV vs BIL vs TLT: 30-Day SEC Yield vs Distribution Yield Math & ETF Fee Drag Analysis (2026)
30-Day SEC Yield refers to a standardized net annualized yield metric mandated by the SEC that deducts fund expense ratios from 30-day portfolio income.
Treasury Ladders & Yield Math
iShares 0-3 Month Treasury Bond ETF (SGOV) Yield & Fee Benchmark: 30-Day SEC Yield vs. Trailing 12-Month Distribution Yield Audit (4.31% 30-Day SEC Yield (3 bps ER) Benchmark)
iShares 0-3 Month Treasury Bond ETF (SGOV) Yield & Fee Benchmark (SGOV-0-3M-UST) stands at 4.31% (30-Day SEC Yield (3 bps ER)) (Source: SEC Form N-1A / U.S. Treasury, 2026-10-20), governing Form N-1A Item 26 accrual acco