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Division of
Trading and Markets
About the Division
Broker-Dealers
Banks and Other Depository Institutions
Credit Rating Agencies
Exchanges
Over-the-Counter Markets
ECNs/Alternative Trading Systems
National Market System
Municipal Markets
Clearing Agencies
Transfer Agents
Additional Topics
Frequently Requested Documents
Division of Trading and Markets
Compliance Guides
Regulation R: Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934
Amendments to Exchange Act Rule 10a-1 and Rules 201 and 200(g) of Regulation SHO
Amendments to Exchange Act Rules 203(b)(3) and 200(e) of Regulation SHO
Bank Dealer Guide
Broker-Dealer Registration Guide
Oversight of Nationally Recognized Statistical Rating Organizations
Short Selling in Connection with a Public Offering: Amendments to Rule 105 of Regulation M
http://www.sec.gov/divisions/marketreg/tmcompliance.shtml
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Modified: 08/26/2008