Compliance Framework Overview

XMax is a Nasdaq-listed company, conducting all operations under the regulatory framework of the U.S. Securities and Exchange Commission (SEC). We are also subject to multi-layered oversight by FINRA, self-regulatory organizations, licensed broker-dealers, as well as leading international law and audit firms—ensuring our platform operates securely, transparently, and in full compliance with the law.

Network of Partner Institutions

We collaborate with the world's most reputable legal and financial institutions to safeguard the security and lawful ownership of our investors' assets.

FisherBroyles, LLP
Legal Advisors
Enrome LLP
Auditors
Interactive Broker
Securities Custody
FINRA
Trading Licenses
FisherBroyles, LLP
FisherBroyles, LLP is the world’s first "distributed" law firm to be ranked in the Am Law 200. The firm has fundamentally disrupted the traditional "Big Law" model by operating without physical offices, leveraging a sophisticated cloud-based infrastructure to facilitate global collaboration. Its core competitive advantage lies in its exclusive recruitment of veteran partners with extensive "Big Law" experience, providing clients with direct access to senior expertise in corporate finance, intellectual property, and litigation. By eliminating traditional overhead, FisherBroyles delivers high-efficiency, high-value legal solutions at a significantly lower cost basis.
Enrome LLP
Enrome LLP is a premier professional services firm specializing in cross-border investment and regulatory compliance advisory. The firm’s core mission is to bridge the gap between global capital and innovative technologies, drawing on deep practical expertise in managing complex legal and financial structures, including private equity, venture capital, and cross-border M&A across American, European, and Asian markets. Distinguished by its agile, partner-led management style, Enrome serves as a key strategic advisor to high-growth enterprises and top-tier investment institutions navigating international expansion.
Interactive Broker
Interactive Brokers is a global leading online brokerage firm, founded in 1978 and headquartered in Connecticut, USA. It offers trading services across a wide range of financial products, including stocks, options, futures, forex, and bonds, covering more than 150 markets worldwide. Renowned for low costs and high efficiency, its advanced trading platforms—such as Trader Workstation (TWS)—support sophisticated trading strategies, catering to professional and institutional investors. Interactive Brokers is known for transparent pricing, robust technological support, and strict regulatory compliance under SEC and FINRA. Serving over 2 million clients globally, it manages substantial assets and is a preferred brokerage for both retail and institutional investors.
FINRA
FINRA is a U.S. non-profit self-regulatory organization responsible for overseeing the securities industry. Founded in 2007 through the merger of the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE) regulatory functions, FINRA's mission is to protect investors and maintain fair and transparent markets. Its primary responsibilities include establishing and enforcing rules for securities trading, supervising broker-dealers and registered personnel, providing investor education, and addressing market misconduct. Through examination, enforcement, and arbitration mechanisms, FINRA ensures the integrity and stability of financial markets, covering over 600,000 registered securities professionals and approximately 3,700 brokerage firms nationwide, providing critical protection for investors.

Information Disclosure Policy

XMax complies with all Nasdaq and SEC disclosure standards. All material events—including key equity holdings, mergers & acquisitions, and valuation adjustments—are announced through official channels. Annual Reports (10-K) / Quarterly Reports (10-Q) Form 8-K for material event disclosures Equity holdings are available in real-time via the SEC EDGAR system