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Trading and Markets

SEC Division of Trading and Markets —
Division of Trading and Markets (from November 2007)
Division of Market Regulation (1972 – November 2007)
Division of Trading and Markets (1963 – 1971)
Division of Trading and Exchanges (1948 – 1962)
Division of Trading and Exchange (1935 – 1947)

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.

Resources

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

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  • Staff Guidance on Substituted Compliance
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  • Electronic Filing of Broker-Dealer Annual Reports - New! Simplified Filing Process
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

  • Fee Rate Advisory #2 for Fiscal Year 2020
    Jan. 9, 2020
  • SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime
    Dec. 18, 2019
  • 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
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