About the Division of 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.

Contact Information

The Division of Trading and Markets is pleased to respond to inquiries relating to matters under its jurisdiction. You may call 202-551-5777 or send an email to tradingandmarkets@sec.gov. You may also wish to refer to the Division's and Commission's on-line materials on this page and at www.sec.gov.

If you are calling from one of the sources listed below, or have questions about the issues listed below, please refer to these contacts for assistance from other offices in the SEC.

• Issuers, corporations, IPOs, Regulation D, Rule 144, corporation finance and accounting issues: contact cfletters@sec.gov;
   
• Mutual funds (investment companies) or investment advisers: contact imocc@sec.gov;
   
• Enforcement matters and enforcement tips: contact enforcement@sec.gov.
   
• Registered Rep series licenses, including testing and status: contact FINRA at 301-590-6500 or see www.finra.org.
   
• If you are an individual investor, please contact the Office of Investor Education and Advocacy at 1-800-SEC-0330 or visit the SEC’s Complaint Center to file a complaint, ask a question, or report a tip.
   
• Investors may also wish to see our on-line documents, including:
   
  
  • Complaints
     
  • Investor Information
     
  • Online Publications
     
  • Fast Answers
     
  • BrokerCheck program