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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
Additional Topics
Response Letter from FINRA Regarding Regulation of U.S. Treasury Securities
Letter to FINRA Regarding Regulation of U.S. Treasury Securities
SEC Chair Mary Jo White Letter to the Securities Industry and Financial Markets Association and the Investment Company Institute Regarding T+2
Report Issued on Improving Financial Privacy Notices for Consumers
Fee Rate Advisories
Anti-Money Laundering Rulemaking
Business Continuity Planning
Advisory Committee on Market Information
Fast Answers To Your Questions
http://www.sec.gov/divisions/marketreg/mraddtopic.shtml
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Modified: 10/19/2016
