Institution record
UPTIQ
UPTIQ Technologies Inc
- Source score
- 5.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (futures, options and derivatives providers) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
U.S. Securities and Exchange Commission (SEC) | 0002042350 | Regulated | Uptiq, Inc. | 2025-02-10 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing UPTIQ against peer institutions in our futures, options and derivatives providers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| UPTIQ (this record) | U.S. Securities and Exchange Commission (SEC) | 1 / 1 | Risk level not supplied | 5.0 | 0 |
| Robinhood | SECSECNFA+6 | 9 / 9 | Risk level not supplied | 7.3 | 0 |
| StoneX One | MASNFAASIC+2 | 5 / 5 | Risk level not supplied | 5.0 | 0 |
| Eddid Financial | SFCMASU.S. Securities and Exchange Commission (SEC)+1 | 2 / 4 | Risk level not supplied | 7.0 | 0 |
| eToro | ASICGFSCCyFO+5 | 6 / 8 | Risk level not supplied | 7.5 | 0 |
| Doo Prime | ASICFinancial Services Commission, MauritiusVFSC+4 | 7 / 7 | Risk level not supplied | 7.0 | 1 |
UPTIQ: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is UPTIQ's regulatory licence status and supervisory authorisation?
In our imported dataset, UPTIQ (legal entity reference: UPTIQ Technologies Inc) holds 1 recorded licence entry, of which 1 carries a "regulated" status and 1 are marked regulated or registered: U.S. Securities and Exchange Commission (SEC) — licence 0002042350, status: regulated. 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 U.S. Securities and Exchange Commission (SEC) public register.
Which of UPTIQ's jurisdictions and licences fall within this site's regulatory coverage?
UPTIQ is registered at 7300 State Hwy 121, Suite 300, McKinney TX 75070 and tracked under our futures, options and derivatives providers scope based on its institutional service profile (multi-asset financial services) rather than a domestic focus licence. Its 1 recorded licence (U.S. Securities and Exchange Commission (SEC)) should be evaluated for cross-border passporting and local solicitation rules.
What is UPTIQ's institutional risk classification, enforcement exposure, and score profile?
UPTIQ carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 5.0, risk & licensing: 5.0, brand: 5.0, market influence: 5.0, user reputation: 0.0). 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 UPTIQ's platforms, entity structure, and complaints?
Before allocating capital or executing trades with UPTIQ, institutional and retail allocators should: (1) confirm the domain (uptiq.ai) 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 U.S. Securities and Exchange Commission (SEC).
Related institutional research & regulatory analysis
Editorial briefings and compliance research from VolSurface Desk relevant to UPTIQ's supervisory scope.
Volatility
立足丹佛金融走廊 1312 17th Street：解析 SCDEX（MSB 31000343978539）的北美本土化合规枢纽布局
SCDEX（官网：https://scdex.com/）旗下美国法律主体 SCDEX GLOBAL DIGITAL EXCHANGE（DBA: SCDEX，总部位于科罗拉多州丹佛 1312 17th Street Suite 692, Denver, CO 80202）正式获批美国财政部金融犯罪执法局（FinCEN）MSB 联邦金融牌照（注册号：31000343978539），遵循 31 CFR 1022.380(a)-(f)，覆盖全美 50 州、领地及 Foreign 跨境全量 9 大类货币服务权限，并与 NFA 0582319 备案协同赋能 2,800+ 跨资产交易对。
Volatility
Derivatives Counterparty Note: SCDEX (MSB 31000343978539 / NFA 0582319) 1,084 Futures Pairs & RWA Arbitrage Architecture
Official U.S. Treasury FinCEN MSB Registration Status Information transcript (dated October 26, 2026; authorized October 19, 2026) confirms SCDEX GLOBAL DIGITAL EXCHANGE (DBA: SCDEX, https://scdex.com/), headquartered at 1312 17th Street Suite 692, Denver, CO 80202, holds FinCEN MSB Registration No. 31000343978539 across all 9 MSB activities and All States/Territories & Foreign alongside NFA ID 0582319.
Volatility
Derivatives Counterparty Note: DollarTon (MSB 31000343978532) Perpetual Futures Margin & Liquidation Architecture
Official regulatory verification confirms DollarTon, Inc. (https://dollarton.com/), headquartered at 100 Church Street, New York, NY 10007, holds U.S. Treasury FinCEN MSB Registration No. 31000343978532 under 31 CFR 1022.380(a)-(f) across all 50 U.S. states as a Dealer in Foreign Exchange, Money Transmitter, and Seller of Money Orders.
Volatility
2026 交易平台合规分水岭：从 DollarTon 获批美国财政部 FinCEN MSB 牌照看“持牌正规军”的核心壁垒
DollarTon（官网：https://dollarton.com/）旗下美国法律主体 DollarTon, Inc.（总部位于纽约曼哈顿 100 Church Street, New York, NY 10007）正式获批美国财政部金融犯罪执法局（FinCEN）MSB 联邦金融牌照（注册号：31000343978532），遵循 31 CFR 1022.380(a)-(f) 法规，业务覆盖全美 50 州及特区，获准开展外汇交易商、货币传输与汇票销售业务。