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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
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
Tips for Broker-Dealers on Avoiding Failures to Deliver Securities
(UPDATED 11/25/08)
http://www.sec.gov/divisions/marketreg/mrbdealers.shtml
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Modified: 03/25/2009