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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


Additional Topics

Response Letter from FINRA Regarding Regulation of U.S. Treasury Securities

Letter to FINRA Regarding Regulation of U.S. Treasury Securities

SEC Chair Mary Jo White Letter to the Securities Industry and Financial Markets Association and the Investment Company Institute Regarding T+2

Report Issued on Improving Financial Privacy Notices for Consumers

Fee Rate Advisories

Anti-Money Laundering Rulemaking

Business Continuity Planning

Advisory Committee on Market Information

Fast Answers To Your Questions

Modified: 10/19/2016