MKTX · 10-Q · 2026Q2 · Full report

Regulatory Capital Requirements

MARKETAXESS HOLDINGS INC · 2026-08-07 · Importance 49 · Surprise 6

The Company’s U.S. broker-dealer subsidiary is subject to SEC, FINRA and CFTC requirements, while certain foreign subsidiaries are regulated by the U.K. FCA or other foreign regulators. At June 30, 2026, all regulated subsidiaries exceeded applicable minimum net-capital or financial-resource requirements, with aggregate excess capital and financial resources of $600.5 million over required levels of $47.4 million. Local regulations may restrict or require prior regulatory notification or approval for affiliate repayments, dividends, loans or other transactions that could materially reduce regulatory capital or financial resources.

Key facts

• As of June 30, 2026 each regulated subsidiary had net capital or financial resources in excess of minimum requirements and aggregate net capital and financial resources were $600.5 million in excess of required levels of $47.4 million source
• The Company stated capital is significantly in excess of regulatory requirements. source