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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Regulation Best Interest, Form CRS and Related Interpretations and Guidance on Investment Adviser and Broker-Dealer Standards of Conduct

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Haoxiang Zhu
Director, Division of Trading and Markets

Contact the Office
202-551-5500

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

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