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U.S. Securities and Exchange Commission

Division of
Trading and Markets

About the Division


Banks and Other Depository Institutions

Credit Rating Agencies


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

Modified: 02/08/2016