SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission

Division of
Trading and Markets

About the Division


Banks and Other Depository Institutions

Credit Rating Agencies


Over-the-Counter Markets

ECNs/Alternative Trading Systems

National Market System

Municipal Markets

Clearing Agencies

Transfer Agents

Additional Topics

Frequently Requested Documents


Mini-Tender Offers: Broker-Dealer Guidance

Broker-Dealer Guidance

* Letter to the Securities Industry Association re: Broker-Dealer Mini-Tender Offer Dissemination and Disclosures (July 24, 2001)

Other Publications

* Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers
* Mini-Tender Offers
* Mini-Tender Offers: Tips for Investors

Modified: 11/14/2007