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Division of Market Regulation:
Exchanges, Other Markets, Broker-Dealers, Clearing Agencies, and Transfer Agents
The Division of Market Regulation establishes and maintains standards for fair, orderly, and efficient markets. It regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as the National Association of Securities Dealers, Inc., stock exchanges, and clearing agencies), and transfer agents. For more information, please call the Office of Interpretation and Guidance at (202) 942-0069, or send an e-mail to marketreg@sec.gov. To locate Division of Market Regulation personnel, please call (202) 942-4150.
Additional Resources
- For inquiries relating to issuers or corporations, please contact the Division of Corporation Finance at 202/942-2900 or at cfletters@sec.gov.
- For inquiries relating to mutual funds (investment companies) or investment advisers, please contact the Division of Investment Management at 202/942-0659 or at imocc@sec.gov.
- If you are an individual investor, please contact the Office of Investor Education and Assistance at 1-800-SEC-0330 or
visit the SEC's Complaint Center to file a
complaint, ask a question, or report a tip.
- If you wish to report an enforcement-related matter, please contact enforcement@sec.gov.
http://www.sec.gov/divisions/marketreg.shtml
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