Skip to main content    

Company Filings

U.S. Securities and Exchange Commission

                        -  About                            -  Careers 
                          -  Commissioners 
                          -  Contact 
                          -  Reports and Publications 
                          -  Securities Laws 
                          -  Mission 
                          -  Commission Votes 
                        -  Divisions & Offices                            -  Corporation Finance 
                          -  Enforcement 
                          -  Investment Management 
                          -  Economic and Risk Analysis 
                          -  Trading and Markets 
                          -  Office of Administrative Law Judges 
                          -  Examinations 
                        -  Enforcement                            -  Litigation Releases 
                          -  Administrative Proceedings 
                          -  Opinions and Adjudicatory Orders 
                          -  Accounting and Auditing 
                          -  Trading Suspensions 
                          -  How Investigations Work 
                          -  Receiverships 
                          -  Information for Harmed Investors 
                        -  Regulation                            -  Rulemaking Activity 
                          -  Proposed Rules 
                          -  Final Rules 
                          -  Interim Final Temporary Rules 
                          -  Other Orders and Notices 
                          -  Self-Regulatory Organizations 
                          -  Staff Interpretations 
                        -  Education                            -  Investor Education 
                          -  Glossaries 
                          -  Small Business Capital Raising 
                        -  Filings                            -  EDGAR – Search & Access 
                          -  EDGAR – Information for Filers 
                          -  Company Filing Search 
                          -  How to Search EDGAR 
                          -  Forms List 
                          -  About EDGAR 
                        -  News                            -  Press Releases 
                          -  Speeches and Statements 
                          -  Securities Topics 
                          -  Upcoming Events 
                          -  Webcasts 
                          -  SEC Videos 
                          -  Media Gallery 

                -  U.S. Securities and Exchange Commission                    -  Divisions & Offices 
                  -  Enforcement 
                  -  Regulation 
                  -  Education 
                  -  Filings 
                  -  Newsroom 
                -  Newsroom                    -  Press Releases 
                  -  Testimony 
                -  RSS Feeds                    -  Press Releases 
                  -  Public Statements 
                  -  Speeches 
                  -  Testimony 
                -  Divisions and Offices 
                -  Trading and Markets 
                -  Broker-Dealers 
                -  Banks and Other Depository Institutions 
                -  Clearing Agencies 
                -  Large Trader                    -  FAQs 
                  -  Information 
                -  Markets                    -  Alternative Trading Systems 
                  -  Exchanges 
                  -  Over-the-Counter Markets 
                -  Market Structure                    -  Advisory Committee on Market Information 
                  -  Market Structure Analytics 
                  -  National Market System 
                  -  Regulatory Coordination 
                  -  Special Reports 
                  -  Thinly Traded Securities 
                -  Security-Based Swap Markets 
                -  Transfer Agents 

-  Divisions and Offices 
-  Trading and Markets 
-  Broker-Dealers 
-  Banks and Other Depository Institutions 
-  Clearing Agencies 
-  Large Trader    -  FAQs 
  -  Information 
-  Markets    -  Alternative Trading Systems 
  -  Exchanges 
  -  Over-the-Counter Markets 
-  Market Structure    -  Advisory Committee on Market Information 
  -  Market Structure Analytics 
  -  National Market System 
  -  Regulatory Coordination 
  -  Special Reports 
  -  Thinly Traded Securities 
-  Security-Based Swap Markets 
-  Transfer Agents 

# Other

# List of Frequently Asked Questions

                            Oct. 12, 2017                       

                                - Frequently Asked Questions Regarding Rule Amendments to Broker-Dealer, Security-Based Swap Dealer, and Major Security-Based Swap Participant Electronic Recordkeeping Requirements  (January 18, 2023)
                                - Frequently Asked Questions Regarding Security-Based Swaps  (July 11, 2022)
                                - Frequently Asked Questions Regarding Submission of Applications and Notices In Lieu of Applications Pursuant to Commission Rule of Practice 194 (“Rule 194”)  (May 10, 2022)
                                - Frequently Asked Questions Regarding Chief Compliance Officer Annual Reports Submitted by Security-Based Swap Dealers and Major Security-Based Swap Participants  (January 26, 2022)
                                - Frequently Asked Questions on Regulation SBSR Implementation  (October 21, 2021)
                                - Responses to Frequently Asked Questions Regarding Financial Responsibility Requirements as Applied to Security-Based Swap Activities of Broker-Dealers and Security-Based Swap Dealers  (October 8, 2021)
                                - Responses to Frequently Asked Questions Concerning Rule 301(b)(5) under Regulation ATS “Fair Access Rule”  (April 24, 2020)
                                - Frequently Asked Questions on Regulation Best Interest  UPDATED August 4, 2020
                                - Frequently Asked Questions on Form CRS  UPDATED February 11, 2020
                                - Responses to Frequently Asked Questions Concerning Rule 606 of Regulation NMS  (August 16, 2019)  UPDATED 6/03/22
                                - Frequently Asked Questions Regarding Regulation Crowdfunding and Intermediary Requirements  (September 25, 2018)
                                - Staff Guidance on Automated Quotations under Regulation NMS  (June 17, 2016)
                                - Responses to Frequently Asked Questions Concerning Regulation SCI  (September 2, 2015)  UPDATED 10/30/2015
                                - Frequently Asked Questions about a Broker-Dealer's Duties When Relying on the Securities Act Section 4(a)(4) Exemption to Execute Customer Orders  (October 9, 2014)  UPDATED 10/09/2014
                                - Responses to Frequently Asked Questions Regarding the Commission's Rule under Section 13 of the Bank Holding Company Act (the "Volcker Rule")  (June 10, 2014)  UPDATED 03/04/2016 
                                - Responses to Frequently Asked Questions Concerning Risk Management Controls for Brokers or Dealers with Market Access  (April 15, 2014)
                                - Frequently Asked Questions about the Amendments to Rule 17a-5 and new Form Custody  (April 4, 2014)
                                - Frequently Asked Questions Concerning the July 30, 2013 Amendments to the Broker-Dealer Financial Reporting Rule  (April 4, 2014)  UPDATED 11/29/2018
                                - Frequently Asked Questions Concerning the Amendments to Certain Broker-Dealer Financial Responsibility Rules  (March 6, 2014)
                                - Frequently Asked Questions about Liability of Compliance and Legal Personnel at Broker-Dealers under Sections 15(b)(4) and 15(b)(6) of the Exchange Act  (September 30, 2013)
                                - Frequently Asked Questions Regarding Rule 15a-6 and Foreign Broker-Dealers  (March 21, 2013)  UPDATED 04/14/2014
                                - Responses to Frequently Asked Questions Concerning Rule 605 of Regulation NMS  (February 22, 2013)
                                - Frequently Asked Questions About the Exemption from Broker-Dealer Registration in Title II of the JOBS Act  (February 5, 2013)
                                - Frequently Asked Questions About Research Analysts and Underwriters  (August 22, 2012)
                                - Frequently Asked Questions About Crowdfunding Intermediaries  (May 7, 2012)
                                - Responses to Frequently Asked Questions Concerning Large Trader Reporting  (April 13, 2012)
                                - Responses to Frequently Asked Questions Concerning Rule 201 of Regulation SHO  (October 6, 2010)  UPDATED 01/20/2011
                                - Guidance Regarding Sale of Loaned But Recalled Securities  (September 28, 2008)
                                - Guidance Regarding the Commission's Emergency Order Concerning Disclosure of Short Selling  (September 24, 2008)  Comments received are available.
                                - Guidance Regarding Temporary Rule 204T  (September 23, 2008)
                                - Guidance Regarding the Commission's Emergency Order Concerning Short Selling  Comments received are available.
                                - Responses to Frequently Asked Questions Concerning Rule 611 and Rule 610 of Regulation NMS  (April 4, 2008)
                                - Responses to Frequently Asked Questions Concerning Rule 612 (Minimum Pricing Increment) of Regulation NMS
                                - Responses to Frequently Asked Questions Concerning Regulation SHO Pilot Data  (March 4, 2005)
                                - Responses to Frequently Asked Questions Concerning Regulation SHO  (December 17, 2004)  UPDATED 03/18/2015
                                - Regulation Analyst Certification
                                - Regulation M (Staff Legal Bulletin No. 9)
                                - Rule 11Ac1-6 (Staff Legal Bulletin No. 13A)
                                - Rule 11Ac1-6 (Staff Legal Bulletin No. 13)
                                - Rule 11Ac1-5 (Staff Legal Bulletin No. 12R)
                                - Rule 10b-18 ("Safe Harbor" for Issuer Repurchases)

SOCIAL MEDIA1Twitter 2Facebook2Instagram3RSS4YouTube6LinkedIn8Email Updates

## About The SEC

-  Budget & Performance 
-  Careers 
-  Commission Votes 
-  Contact 
-  Contracts 
-  Data Resources 

## Transparency

-  Accessibility & Disability 
-  FOIA 
-  Inspector General 
-  No FEAR Act & EEO Data 
-  Ombuds 
-  Whistleblower Protection 

## Websites

-  Investor.gov 
-  Related Sites 
-  USA.gov 

## Site Information

-  Plain Writing 
-  Privacy & Security 
-  Site Map 

**Return to Top