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Division of Trading and Markets:
Exchanges, Other Markets, Broker-Dealers, Clearing Agencies, Transfer Agents, and NRSROs

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Broker-Dealers
Banks and Other Depository Institutions
Nationally Recognized Statistical Rating Organizations ("NRSROs")
Exchanges
Over-the-Counter Markets
ECNs/Alternative Trading Systems
National Market System
Clearing Agencies
Transfer Agents
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http://www.sec.gov/divisions/marketreg.shtml


Modified: 08/09/2013