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Ally Invest regulation

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Updated
Jan 2024
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Is Ally Invest regulated as of January 2024?

Finding reliable information on the regulation of a broker can be time-consuming or even difficult at times.

We have done the legwork for you and our brokerage experts have determined that Ally Invest is a fully regulated broker.
Ally Invest regulatory profile: key points
Edith
Edith Balázs
Fiscal Fables Storyteller | Forex • Safety • Financial Journalism

I have personally tested dozens of global brokers and as a brokerage expert I am familiar with the regulatory and licensing procedures of at least a dozen financial authorities globally:

  • Ally Invest has top-tier regulation.
  • Top-tier regulation significantly enhances the safety of a given broker.
  • Browse other top-tier regulated brokers with our unique Find My Broker tool.
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Ally Invest is available in the United States

Ally Invest has top-tier regulation

Making sure that your broker has rock solid regulation is the first step in the broker selection process for any responsible trader and investor. So, the question arises:

Is Ally Invest regulated?

As Ally Invest is based in the US, it's regulated by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), as well as the Commodity Futures Trading Commission (CFTC) in the case of Ally Forex.

Ally Invest has the following regulation (country of clients - regulatory body):

  • USA - Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA)
  • Clients opening forex account - Commodity Futures Trading Commission (CFTC)

Top-tier regulation significantly enhances the safety of any given broker

Being supervised by a top-tier regulator lends a considerable boost to the safety profile of any given broker.

These regulators apply the strictest requirements and standards that brokers overseen by them must adhere to. As the client of a broker with top-tier regulation, you will have important safeguards in place with respect to the fairness of pricing and trading conditions that your broker provides.

If your broker is regulated by multiple authorities, you should try to sign up with the entity that has top-tier regulation. This will most likely mean that you will have access to investor protection as most of these regulators operate in countries where such schemes are available.

If you're uncertain about your broker's regulatory entity, reach out to their customer support team.

Browse other top-tier regulated brokers with our unique FInd My Broker tool

The BrokerChooser team has personally tested and reviewed more than 100 brokers globally, all of which have top-tier regulation. We opened accounts with real money at each, conducted actual trades on their platforms, checked their safety, fees and customer service, among other things.

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Further reading

Author of this article

Edith Balázs

Fiscal Fables Storyteller | Forex • Safety • Financial Journalism

I bring 20+ years of experience as a correspondent having worked for Bloomberg, Dow Jones and The Wall Street Journal covering macroeconomics, stock, currency and fixed-income markets. I hold a Master's degree in American Studies and Journalism.

Everything you find on BrokerChooser is based on reliable data and unbiased information. We combine our 10+ years finance experience with readers feedback. Read more about our methodology.

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