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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

Broker-Dealers

Broker-Dealer Registration Guide

Broker-Dealer Notices and Reports

Anti-Money Laundering Rulemaking

Arbitration

Breakpoints

Business Continuity Planning

Client Commission Practices

Consolidated Supervision of Broker-Dealers and Affiliates (Consolidated Supervised Entities)

Disclosure of Order Execution and Order Routing Information

Foreign Broker-Dealers: Rule 15a-6

Issuer Repurchases: Rule 10b-18

Mini-Tender Offers: Broker-Dealer Guidance

Net Capital and Books & Records Guidance

Portals Roundtable: Relationships Between Broker-Dealers and Internet Web Sites

Regulation M

Securities Analysts

Short Sales

http://www.sec.gov/divisions/marketreg/mrbdealers.shtml

Modified: 06/25/2008