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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


About the Division of Trading and Markets

SEC Division of Trading and Markets —
Division of Trading and Markets (from November 2007)
Division of Market Regulation (1972 – November 2007)
Division of Trading and Markets (1963 – 1971)
Division of Trading and Exchanges (1948 – 1962)
Division of Trading and Exchange (1935 – 1947)

The Division of Trading and Markets establishes and maintains standards for fair, orderly, and efficient markets. The Division regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, FINRA, and clearing agencies), and transfer agents. For further information, click here.

Contact Information

The Division of Trading and Markets is pleased to respond to inquiries relating to matters under its jurisdiction. You may call 202-551-5777 or send an email to You may also wish to refer to the Division's and Commission's on-line materials on this page and at

If you are calling from one of the sources listed below, or have questions about the issues listed below, please refer to these contacts for assistance from other offices in the SEC.

Modified: 09/21/2010