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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

 

Frequently Requested Documents

Broker-Dealer Electronic Recordkeeping

Broker-Dealer Registration

Broker-Dealer Registrations: FOIA Information

Special Reports

Registered Representatives

Section 31 Fees

 

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

Modified: 02/13/2014