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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. 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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    (replaces the April 2, 2020 Staff Statement)
  • Staff Statement Regarding Rule 302(b) of Regulation S-T in Light of COVID-19 Concerns
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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

Operating Status

Division of Trading and Markets
March 20, 2020

What's New

  • Staff Report on the Regulation of Clearing Agencies (PDF)
    Oct. 1, 2020
  • Staff Statement Regarding Temporary International Mail Service Suspensions to Certain Jurisdictions Related to the COVID-19 Pandemic
    June 24, 2020
  • Dmitry Bulkin Joins the Division of Trading and Markets as a Senior Policy Advisor
    June 22, 2020

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