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U.S. Securities and Exchange Commission


Division of
Trading and Markets


About the Division

Broker-Dealers

Banks and Other Depository Institutions

Credit Rating Agencies

Exchanges

Over-the-Counter Markets

ECNs/Alternative Trading Systems

National Market System

Municipal Markets

Clearing Agencies

Transfer Agents

Additional Topics

Frequently Requested Documents

 

Broker-Dealers

  Broker-Dealer Registration Guide
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  Broker-Dealer Notices and Reports
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Anti-Money Laundering Rulemaking

Arbitration

Breakpoints

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

Supervisionnew material

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

 

http://www.sec.gov/divisions/marketreg/mrbdealers.shtml

Modified: 09/30/2013