Division of Trading and Markets

Establishes and maintains standards for fair, orderly, and efficient markets and regulates broker-dealers, self-regulatory organizations, and transfer agents.

About

The Division of Trading and Markets regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, FINRA, and clearing agencies), securities-based swap dealers, and transfer agents.

What's New

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Haoxiang Zhu

Director, Division of Trading and Markets
202-551-5500

Contact the Division

202-551-5777 tradingandmarkets@sec.gov

Guidance and Statements

Frequently-asked questions and other staff guidance.

No-Action Letters

Correspondence from SEC staff in response to requests for no-action, interpretive, or exemptive letters.

Exemptive Relief

Notices and orders in which the Commission may grant exemptions from any Exchange Act provision, rule, or regulation.

SRO Rulemaking

Submit public comments on filings made by self-regulatory organizations.

Electronic Form Filing System Resources

EFFS is a secure, web-based system used for filing the following forms: 19b-4, 19b-7, and SCI.

Market Participants

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Forms and Submissions

Compliance Guides TM photo

Additional Resources

Resources for Investors

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Visit the investor resources page to:

  • Check your investment professional
  • Ask a question
  • Report a problem with an account or financial professional