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.

Laws and Rules      Securities Exchange Act of 1934      1934 Act Rules Recent Staff Legal Bulletins      SLB No. 17: Remote Office Supervision (updated March 19, 2004)      SLB No. 9: Frequently Asked Questions About Regulation M (updated April 12, 2002)      SLB No. 13A: Frequently Asked Questions About Rule 11Ac1-6      SLB No. 15: Listing Standards for Trading Security Futures Products      SLB No. 14: Shareholder Proposals      SLB No. 1A: Confidential Treatment Requests      SLB No. 13: Frequently Asked Questions About Rule 11Ac1-6      SLB No. 12: Frequently Asked Questions About Rule 11Ac1-5 (updated September 6, 2001) more... Exemptive Orders      Exemptive Order of June 22, 2001 Re: NASD Small Firms Advisory Board Request for Exemption Under Rule 11Ac1-5      Exemptive Order of June 22, 2001 Re: New York Stock Exchange, Inc. Request for Exemptions Under Rule 11Ac1-5      Exemptive Order of June 22, 2001 Re: Nasdaq Stock Market, Inc. Request for Interpretive Guidance and Exemptions Under Rule 11Ac1-5      Exemptive Order of June 22, 2001 Re: Market Systems, Inc. Request for Exemptions Under Rule 11Ac1-5      Exemptive Order of June 22, 2001 Re: First Union Securities, Inc. Request for Exemption Under Rule 11Ac1-6 more... Securities Analysts Brokers and Dealers: Registration Compliance Guide Bank Dealer Compliance Guide Broker-Dealer Net Capital, Books & Records Guidance Anti-Money Laundering Rulemaking Mini-Tender Offers: Broker-Dealer Guidance The National Association of Unclaimed Property Administrators and missingmoney.com (help in regaining property, including lost certificates, uncollected dividends, or other lost investment instruments)

Issuer Repurchases — Rule 10b-18 FAQ Regulation Analyst Certification FAQ Report Regarding Arbitrator Conflict Disclosure Requirements in NASD and NYSE Securities Arbitrations (PDF file; does not include attachments) Holding Your Securities — Get the Facts Credit Rating Agencies Post–September 11th Business Continuity Initiatives      Outreach Events Sponsored by FBIIC and FDIC      Draft Interagency White Paper on Sound Practices to Strengthen the Resilience of the U. S. Financial System      Summary of "Lessons Learned" from Events of September 11 and Implications for Business Continuity      A Summary of February 26 Financial Industry Summit on Business Continuity Order Execution Data Decimalization Staff No-Action, Exemptive, & Interpretive Letters Advisory Committee on Market Information      Final Report   Exchange Applications      Commission Notice Concerning Nasdaq Stock Market, Inc.      Commission Opinion Concerning International Securities Exchange LLC Policy Statements      Automated Systems of Self-Regulatory Organizations (1989)      Automated Systems of Self-Regulatory Organizations (II) (1991) Portals Roundtable: Relationships Between Broker-Dealers and Internet Web Sites      Proceedings transcript      Webcast      Agenda and List of Participants 2002 Market Structure Hearings

http://www.sec.gov/divisions/marketreg.shtml