The Division of Trading and Markets establishes and maintains standards for fair, orderly, and efficient markets. The Division regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, FINRA, and clearing agencies), and transfer agents. For further information, click here.
COVID-19
Response to COVID-19: Overview of selected SEC response efforts to COVID-19
Statement: TM is continuing to conduct normal business functions in addition to its engagement in activities in connection with challenges raised by COVID-19
March 20, 2020
TM Response to COVID-19: Links to certain TM-related documents in response to the effects of COVID-19
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Resources
- No-action Letter Regarding Broker-Dealer Books and Records and Reporting Requirements (December 9, 2022)
- No-action Letter Regarding Amended Rule 15c2-11 in Relation to Fixed Income Securities (November 30, 2022)
- No-action Letter Regarding Rule 15c2-11 and Fixed Income Securities (December 16, 2021)
- No-action Letter Regarding Rule 15c2-11 and Fixed Income Securities (September 24, 2021)
- Staff Statement on the Proposed Expert Market (August 2, 2021)
- Staff Statement on Fully Paid Lending (April 16, 2021)
- Staff Bulletin: Risks Associated with Omnibus Accounts Transacting in Low-Priced Securities (November 12, 2020)
- Staff Report on the Regulation of Clearing Agencies (October 1, 2020)
- Updated Staff Statement: Regarding Requirements for Certain Paper Submissions in Light of COVID-19 Concerns (6/18/2020)
(replaces the April 2, 2020 Staff Statement) - Staff Statement Regarding Rule 302(b) of Regulation S-T in Light of COVID-19 Concerns
- Staff Guidance on Substituted Compliance
- Staff Guidance on SRO Fee Filings
- Staff Legal Bulletins
Additional Resources
Press Release: Investment Adviser and Broker-Dealer Standards of Conduct
If you are a broker-dealer or associated with a broker-dealer, please contact the Division of Trading and Markets for general information:
Main Office
Phone: 202-551-5777
Fax: 202-772-9273
Email: tradingandmarkets@sec.gov
Operating Status
Division of Trading and Markets
March 20, 2020
What's New
Career Opportunities
Modified: Oct. 1, 2020