Other
List of Frequently Asked Questions
Oct. 12, 2017
- Frequently Asked Questions Regarding Rule Amendments to Broker-Dealer, Security-Based Swap Dealer, and Major Security-Based Swap Participant Electronic Recordkeeping Requirements (January 18, 2023)
- Frequently Asked Questions Regarding Security-Based Swaps (July 11, 2022)
- Frequently Asked Questions Regarding Submission of Applications and Notices In Lieu of Applications Pursuant to Commission Rule of Practice 194 (“Rule 194”) (May 10, 2022)
- Frequently Asked Questions Regarding Chief Compliance Officer Annual Reports Submitted by Security-Based Swap Dealers and Major Security-Based Swap Participants (January 26, 2022)
- Frequently Asked Questions on Regulation SBSR Implementation (October 21, 2021)
- Responses to Frequently Asked Questions Regarding Financial Responsibility Requirements as Applied to Security-Based Swap Activities of Broker-Dealers and Security-Based Swap Dealers (October 8, 2021)
- Responses to Frequently Asked Questions Concerning Rule 301(b)(5) under Regulation ATS “Fair Access Rule” (April 24, 2020)
- Frequently Asked Questions on Regulation Best Interest UPDATED August 4, 2020
- Frequently Asked Questions on Form CRS UPDATED February 11, 2020
- Responses to Frequently Asked Questions Concerning Rule 606 of Regulation NMS (August 16, 2019) UPDATED 6/03/22
- Frequently Asked Questions Regarding Regulation Crowdfunding and Intermediary Requirements (September 25, 2018)
- Staff Guidance on Automated Quotations under Regulation NMS (June 17, 2016)
- Responses to Frequently Asked Questions Concerning Regulation SCI (September 2, 2015) UPDATED 10/30/2015
- Frequently Asked Questions about a Broker-Dealer's Duties When Relying on the Securities Act Section 4(a)(4) Exemption to Execute Customer Orders (October 9, 2014) UPDATED 10/09/2014
- Responses to Frequently Asked Questions Regarding the Commission's Rule under Section 13 of the Bank Holding Company Act (the "Volcker Rule") (June 10, 2014) UPDATED 03/04/2016
- Responses to Frequently Asked Questions Concerning Risk Management Controls for Brokers or Dealers with Market Access (April 15, 2014)
- Frequently Asked Questions about the Amendments to Rule 17a-5 and new Form Custody (April 4, 2014)
- Frequently Asked Questions Concerning the July 30, 2013 Amendments to the Broker-Dealer Financial Reporting Rule (April 4, 2014) UPDATED 11/29/2018
- Frequently Asked Questions Concerning the Amendments to Certain Broker-Dealer Financial Responsibility Rules (March 6, 2014)
- Frequently Asked Questions about Liability of Compliance and Legal Personnel at Broker-Dealers under Sections 15(b)(4) and 15(b)(6) of the Exchange Act (September 30, 2013)
- Frequently Asked Questions Regarding Rule 15a-6 and Foreign Broker-Dealers (March 21, 2013) UPDATED 04/14/2014
- Responses to Frequently Asked Questions Concerning Rule 605 of Regulation NMS (February 22, 2013)
- Frequently Asked Questions About the Exemption from Broker-Dealer Registration in Title II of the JOBS Act (February 5, 2013)
- Frequently Asked Questions About Research Analysts and Underwriters (August 22, 2012)
- Frequently Asked Questions About Crowdfunding Intermediaries (May 7, 2012)
- Responses to Frequently Asked Questions Concerning Large Trader Reporting (April 13, 2012)
- Responses to Frequently Asked Questions Concerning Rule 201 of Regulation SHO (October 6, 2010) UPDATED 01/20/2011
- Guidance Regarding Sale of Loaned But Recalled Securities (September 28, 2008)
- Guidance Regarding the Commission's Emergency Order Concerning Disclosure of Short Selling (September 24, 2008)
Comments received are available. - Guidance Regarding Temporary Rule 204T (September 23, 2008)
- Guidance Regarding the Commission's Emergency Order Concerning Short Selling
Comments received are available. - Responses to Frequently Asked Questions Concerning Rule 611 and Rule 610 of Regulation NMS (April 4, 2008)
- Responses to Frequently Asked Questions Concerning Rule 612 (Minimum Pricing Increment) of Regulation NMS
- Responses to Frequently Asked Questions Concerning Regulation SHO Pilot Data (March 4, 2005)
- Responses to Frequently Asked Questions Concerning Regulation SHO (December 17, 2004) UPDATED 03/18/2015
- Regulation Analyst Certification
- Regulation M (Staff Legal Bulletin No. 9)
- Rule 11Ac1-6 (Staff Legal Bulletin No. 13A)
- Rule 11Ac1-6 (Staff Legal Bulletin No. 13)
- Rule 11Ac1-5 (Staff Legal Bulletin No. 12R)
- Rule 10b-18 ("Safe Harbor" for Issuer Repurchases)
Modified: July 26, 2022