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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



  Broker-Dealer Registration Guide

  Broker-Dealer Notices and Reports

Anti-Money Laundering Rulemaking



Broker-Dealer Risk Office

Business Continuity Planning

Client Commission Practices

Disclosure of Order Execution and Order Routing Information

Foreign Broker-Dealers: Rule 15a-6

Issuer Repurchases: Rule 10b-18

Mini-Tender Offers: Broker-Dealer Guidance

Net Capital and Books & Records Guidance

Portals Roundtable: Relationships Between Broker-Dealers and Internet Web Sites

Regulation M

Regulations S-P and S-AM

Securities Analysts

Senior Investors

Short Sales


Tips for Broker-Dealers on Avoiding Failures to Deliver Securities (UPDATED 11/25/08)

Modified: 03/10/2016