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
Bank Dealer Guide
Broker-Dealer Registration Guide
NRSROs: Oversight of Nationally Recognized Statistical Rating Organizations
Regulation M: Short Selling in Connection with a Public Offering: Amendments to Rule 105 of Regulation M
Regulation R: Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934
Regulation SHO: Amendment to Eliminate the Options Market Maker Exception in Exchange Act Rule 203(b)(3) of Regulation SHO
Regulation SHO: Amendment to Regulation SHO to Adopt Exchange Act Rule 204T
Regulation SHO: Amendments to Exchange Act Rule 10a-1 and Rules 201 and 200(g) of Regulation SHO
Regulation SHO: Amendments to Exchange Act Rules 203(b)(3) and 200(e) of Regulation SHO
Rule 10b-21: Adoption of "Naked" Short Selling Antifraud Rule, Exchange Act Rule 10b-21
http://www.sec.gov/divisions/marketreg/tmcompliance.shtml
Contact
|
Employment
|
Links
|
FOIA
|
Forms
|
Privacy Policy
Modified: 01/22/2009