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.
FAQs
Division staff's answers to frequently asked questions and other staff guidance on various topics.
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.
Electronic Form Filing System Resources
EFFS is a secure, web-based system used for filing the following forms: 19b-4, 19b-7, and SCI.
Resources for Investors
Visit the investor resources page to:
- Check your investment professional
- Ask a question
- Report a problem with an account or financial professional