Please read this statement to learn how the Division is continuing to conduct normal business functions in addition to its engagement in activities in connection with challenges raised by COVID-19.
Response to COVID-19: See Links to certain TM-related documents in response to the effects of COVID-19.
SEC Division of Trading and Markets —
Division of Trading and Markets (from November 2007)
Division of Market Regulation (1972 – November 2007)
Division of Trading and Markets (1963 – 1971)
Division of Trading and Exchanges (1948 – 1962)
Division of Trading and Exchange (1935 – 1947)
The Division of Trading and Markets establishes and maintains standards for fair, orderly, and efficient markets. The Division regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, FINRA, and clearing agencies), and transfer agents. For further information, click here.
Resources
Click on the graphic below or the following links for additional resources.
- Updated Staff Statement: Regarding Requirements for Certain Paper Submissions in Light of COVID-19 Concerns (6/18/2020)
(replaces the April 2, 2020 Staff Statement) - Regulation Best Interest, Form CRS and Related Interpretations
- Staff Statement Regarding Rule 302(b) of Regulation S-T in Light of COVID-19 Concerns
- Staff Guidance on Substituted Compliance
- Staff Guidance on SRO Fee Filings
- Regulation SCI
- Forms
- Exemptive Orders
- No-Action Letters
- Compliance Guides
- Staff Legal Bulletins
- Rulemaking
- Concept Releases
- SRO Filings
- FAQs
- Roundtables
- Trading and Markets Hearings
- Consolidated Audit Trail
- Electronic Filing of Broker-Dealer Annual Reports
Brett Redfearn, Director, Division of Trading and Markets
Director's Office
202-551-5500
Main Office
Phone: 202-551-5777
Fax: 202-772-9273
Email: tradingandmarkets@sec.gov
Investment Adviser and Broker-Dealer Standards of Conduct
Please send questions to the Commission’s inter-Divisional Standards of Conduct Implementation Committee at IABDQuestions@sec.gov