Home
|
Jobs
|
Fast Answers
|
Site Map
|
Search
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
Amendment to Eliminate the Options Market Maker Exception in Exchange Act Rule 203(b)(3) of Regulation SHO
Adoption of "Naked" Short Selling Antifraud Rule, Exchange Act Rule 10b-21
Amendment to Regulation SHO to Adopt Exchange Act Rule 204T
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
Contact
|
Employment
|
Links
|
FOIA
|
Forms
|
Privacy
Modified: 10/17/2008