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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
Amendments to Municipal Securities Disclosure
Bank Dealer Guide
Broker-Dealer Registration Guide
Final Model Privacy Form Under the Gramm-Leach-Bliley Act
NRSROs: Oversight of Nationally Recognized Statistical Rating Organizations
NRSROs: November 2009 Amendments to the Rules Relating to the Oversight of Nationally Recognized Statistical Rating Organizations
NRSROs: February 2009 Amendments to the Rules Relating to the 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 S-AM: Limitations on Affiliate Marketing
Regulation SHO: Short Sale Price Test Restrictions
Regulation SHO: Amendment to Regulation SHO to Adopt Exchange Act Rule 204
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
Rule 15c3-5 — Risk Management Controls for Brokers or Dealers with Market Access
http://www.sec.gov/divisions/marketreg/tmcompliance.shtml
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Modified: 01/06/2011