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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

 

Division of Trading and Markets
Compliance Guides

 

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

Modified: 03/07/2014