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-  Divisions and Offices 
-  Trading and Markets 
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-  Clearing Agencies 
-  Large Trader    -  FAQs 
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# Other

# Division of Trading and MarketsCompliance Guides

                            Oct. 12, 2017                       

                                - Amendment to Securities Transaction Settlement Cycle — A Small Entity Compliance Guide  	 
                                - Crowdfunding Intermediary Compliance Guide  	 
                                - Funding Portal Registration Guide  	 
                                - Amendments to Municipal Securities Disclosure  	 
                                - Bank Dealer Guide  	 
                                - Broker-Dealer Financial Responsibility Rules: 2013 Amendments to Exchange Act Rules 15c3-1, 15c3-3, 17a-3, 17a-4, and 17a-11  	 
                                - Broker-Dealer Financial Responsibility Rules: 2013 Amendments to Exchange Act Rules 17a-5 and 17a-11 and Adoption of Form Custody  	 
                                - Broker-Dealer Registration Guide  	 
                                - Final Model Privacy Form Under the Gramm-Leach-Bliley Act  	 
                                - Oversight of Nationally Recognized Statistical Rating Organizations: A Small Entity Compliance Guide  	 
                                - NRSROs: November 2009 Amendments to the Rules Relating to the Oversight of Nationally Recognized Statistical Rating Organizations  	 
                                - NRSROs: February 2009 Amendments to the Rules Relating to the Oversight of Nationally Recognized Statistical Rating Organizations  	 
                                - Regulation M: Short Selling in Connection with a Public Offering: Amendments to Rule 105 of Regulation M  	 
                                - Regulation R: Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934  	 
                                - Regulation S-AM: Limitations on Affiliate Marketing  	 
                                - Regulation SHO: Short Sale Price Test Restrictions  	 
                                - Regulation SHO: Amendment to Regulation SHO to Adopt Exchange Act Rule 204  	 
                                - Regulation SHO: Amendment to Eliminate the Options Market Maker Exception in Exchange Act Rule 203(b)(3) of Regulation SHO  	 
                                - Regulation SHO: Amendment to Regulation SHO to Adopt Exchange Act Rule 204T  	 
                                - Regulation SHO: Amendments to Exchange Act Rule 10a-1 and Rules 201 and 200(g) of Regulation SHO  	 
                                - Regulation SHO: Amendments to Exchange Act Rules 203(b)(3) and 200(e) of Regulation SHO  	 
                                - Rule 10b-21: Adoption of "Naked" Short Selling Antifraud Rule, Exchange Act Rule 10b-21  	 
                                - Rule 15c3-5 — Risk Management Controls for Brokers or Dealers with Market Access

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