Skip to main content

Company FilingsMore Search Options

SEC Emblem
U.S. Securities and Exchange Commission
q
  • About
    • What We Do
    • Commissioners
    • Securities Laws
    • Reports and Publications
    • Careers
    • Contact
  • Divisions & Offices
    • Corporation Finance
    • Enforcement
    • Investment Management
    • Economic and Risk Analysis
    • Trading and Markets
    • Office of Administrative Law Judges
    • Office of Compliance Inspections and Examinations
    • Regional Offices
    • All Divisions and Offices
  • Enforcement
    • Litigation Releases
    • Administrative Proceedings
    • Opinions and Adjudicatory Orders
    • Accounting and Auditing
    • Trading Suspensions
    • How Investigations Work
    • Receiverships
    • Information for Harmed Investors
  • Regulation
    • Rulemaking Index
    • Proposed Rules
    • Final Rules
    • Interim Final Temporary Rules
    • Other Orders and Notices
    • Self-Regulatory Organizations
    • Staff Interpretations
  • Education
    • Investor.gov
    • Five Questions to Ask Before You Invest
    • About Investment Professionals
    • Check Your Investment Professional
    • Investing Tools and Calculators
    • Investment Products
    • Understanding Fees
    • Investor Alerts and Bulletins
    • Glossary
  • Filings
    • EDGAR Search Tools
    • Company Filing Search
    • How to Search EDGAR
    • Requesting Public Documents
    • Forms List
    • Information for Filers
    • About EDGAR
  • News
    • Press Releases
    • Public Statements
    • Speeches
    • Testimony
    • Spotlight Topics
    • What's New
    • Upcoming Events
    • Webcasts
    • SEC in the News
    • SEC Videos
    • Media Gallery

User account menu

  • Log in
  • U.S. Securities and Exchange Commission
    • Divisions & Offices
    • Enforcement
    • Regulation
    • Education
    • Filings
    • Newsroom
  • Newsroom
    • Press Releases
    • Public Statements
    • Speehes
    • Testimony
  • RSS Feeds
    • Press Releases
    • Public Statements
    • Speeches
    • Testimony
  • Social Media
    • @SEC_News
    • SEC Channel
    • SEC Photostream
  • Trading and Markets
  • About
  • Additional Topics
  • Broker-Dealers
  • Banks and Other Depository Institutions
  • Clearing Agencies
  • Contact Us
  • Exchanges
  • Frequently Requested Documents
  • Market Structure
  • National Market System
  • NMS Stock Alternative Trading Systems
  • Over-the-Counter Markets
  • Security-Based Swaps
  • Thinly Traded Securities
  • Transfer Agents
  • Trading and Markets
  • About
  • Additional Topics
  • Broker-Dealers
  • Banks and Other Depository Institutions
  • Clearing Agencies
  • Contact Us
  • Exchanges
  • Frequently Requested Documents
  • Market Structure
  • National Market System
  • NMS Stock Alternative Trading Systems
  • Over-the-Counter Markets
  • Security-Based Swaps
  • Thinly Traded Securities
  • Transfer Agents

Trading and Markets

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.

Resources

Click on the graphic below or the following links for additional resources.

Check your investment professional graphic button
  • Staff Guidance on SRO Fee Filings
  • Regulation SCI
  • Forms
  • Exemptive Orders
  • No-Action Letters
  • Compliance Guides
  • Staff Legal Bulletins
  • Rulemaking
  • Concept Releases
  • SRO Filings
  • Exchange Form 1 Amendments
  • Exchange Form 19b-4(e) Submissions
  • NMS Stock Alternative Trading Systems
  • FAQs
  • Roundtables
  • Trading and Markets Hearings
  • Consolidated Audit Trail
  • Section 31 Information
  • Large Trader Reporting
  • Broker-Dealer Notices and Reports
  • Electronic Filing of Broker-Dealer Annual Reports - New! Simplified Filing Process
  • Tick Size Pilot Program
Brett Redfearn Photo

Brett Redfearn, Director, Division of Trading and Markets

Director's Office
202-551-5500

Main Office
Phone: 202-551-5777
Fax: 202-772-9273
Email: tradingandmarkets@sec.gov

Investment Adviser and Broker-Dealer Standards of Conduct
Please send questions to the Commission’s inter-Divisional Standards of Conduct Implementation Committee at IABDQuestions@sec.gov

Latest News

  • SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities
    Oct. 17, 2019
  • SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment, and Approval Procedure
    Oct. 1, 2019
  • SEC Adopts New Rules and Amendments under Title VII of Dodd-Frank
    Sept. 19, 2019
  • SEC Issues Agenda for July 29 Meeting of the Fixed Income Market Structure Advisory Committee
    July 25, 2019
  • Emily Westerberg Russell Named Chief Counsel of Division of Trading and Markets
    July 23, 2019
Archives

Modified: Jan. 30, 2017

STAY CONNECTED
1 Twitter 2 Facebook 3RSS 4YouTube
5 Flickr 6LinkedIn 7 Pinterest 8 Email Updates

Footer menu

  • Site Map
  • Accessibility
  • Contracts
  • Privacy
  • Inspector General
  • Agency Financial Report
  • Budget & Performance
  • Careers
  • Contact
  • FOIA
  • No FEAR Act & EEO Data
  • Whistleblower Protection
  • Ombudsman
  • Votes
  • Data
  • Plain Writing
  • Links
  • Investor.gov
  • USA.gov
Return to Top