Other
Division of Trading and Markets
Compliance Guides
Oct. 12, 2017
- Amendment to Securities Transaction Settlement Cycle — A Small Entity Compliance Guide
- Crowdfunding Intermediary Compliance Guide
- Funding Portal Registration Guide
- Amendments to Municipal Securities Disclosure
- Bank Dealer Guide
- Broker-Dealer Financial Responsibility Rules: 2013 Amendments to Exchange Act Rules 15c3-1, 15c3-3, 17a-3, 17a-4, and 17a-11
- Broker-Dealer Financial Responsibility Rules: 2013 Amendments to Exchange Act Rules 17a-5 and 17a-11 and Adoption of Form Custody
- Broker-Dealer Registration Guide
- Final Model Privacy Form Under the Gramm-Leach-Bliley Act
- Oversight of Nationally Recognized Statistical Rating Organizations: A Small Entity Compliance Guide
- NRSROs: November 2009 Amendments to the Rules Relating to the Oversight of Nationally Recognized Statistical Rating Organizations
- NRSROs: February 2009 Amendments to the Rules Relating to the Oversight of Nationally Recognized Statistical Rating Organizations
- Regulation M: Short Selling in Connection with a Public Offering: Amendments to Rule 105 of Regulation M
- Regulation R: Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934
- Regulation S-AM: Limitations on Affiliate Marketing
- Regulation SHO: Short Sale Price Test Restrictions
- Regulation SHO: Amendment to Regulation SHO to Adopt Exchange Act Rule 204
- Regulation SHO: Amendment to Eliminate the Options Market Maker Exception in Exchange Act Rule 203(b)(3) of Regulation SHO
- Regulation SHO: Amendment to Regulation SHO to Adopt Exchange Act Rule 204T
- Regulation SHO: Amendments to Exchange Act Rule 10a-1 and Rules 201 and 200(g) of Regulation SHO
- Regulation SHO: Amendments to Exchange Act Rules 203(b)(3) and 200(e) of Regulation SHO
- Rule 10b-21: Adoption of "Naked" Short Selling Antifraud Rule, Exchange Act Rule 10b-21
- Rule 15c3-5 — Risk Management Controls for Brokers or Dealers with Market Access
Modified: April 21, 2017