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#  Trading and Markets 

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.

## COVID-19

Response to COVID-19: Overview of selected SEC response efforts to COVID-19

Statement: TM is continuing to conduct normal business functions in addition to its engagement in activities in connection with challenges raised by COVID-19March 20, 2020

TM Response to COVID-19: Links to certain TM-related documents in response to the effects of COVID-19

## Search on EDGAR

                                            - Search Company Filings
                                            - Confidential Treatment Orders
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Regulation Best Interest, Form CRS and Related Interpretations and Guidance on Investment Adviser and Broker-Dealer Standards of Conduct

## Resources

### Staff Guidance and Statements

                                            - No-action Letter Regarding Broker-Dealer Books and Records and Reporting Requirements  (December 9, 2022)
                                            - No-action Letter Regarding Amended Rule 15c2-11 in Relation to Fixed Income Securities  (November 30, 2022)
                                            - No-action Letter Regarding Rule 15c2-11 and Fixed Income Securities  (December 16, 2021)
                                            - No-action Letter Regarding Rule 15c2-11 and Fixed Income Securities  (September 24, 2021)
                                            - Staff Statement on the Proposed Expert Market  (August 2, 2021)
                                            - Staff Statement on Fully Paid Lending  (April 16, 2021)
                                            - Staff Bulletin: Risks Associated with Omnibus Accounts Transacting in Low-Priced Securities  (November 12, 2020)
                                            - Staff Report on the Regulation of Clearing Agencies  (October 1, 2020)
                                            - 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 )
                                            - 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
                                            - Staff Legal Bulletins

### Hearings and Roundtables

                                            - Roundtables
                                            - Trading and Markets Hearings

### Regulations and Releases

                                            - Regulation Best Interest, Form CRS and Related Interpretations
                                            - Regulation SCI
                                            - Concept Releases
                                            - Compliance Guides

### Archives

## Additional Resources

                                          - Section 31 Information
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                                          - Electronic Filing of Broker-Dealer Annual Reports 
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                                          - FAQs
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                                          - No-Action Letters
                                          - Rulemaking
                                          - SRO Filings
                                          - Email Filing of Proposed NMS Plans and Plan Amendments
                                          - Electronic Form Filing System (EFFS) Resources

**Haoxiang ZhuDirector, Division of Trading and Markets**

Contact the Office202-551-5500

**Press Release:** Investment Adviser and Broker-Dealer Standards of Conduct

### If you are a broker-dealer or associated with a broker-dealer, please contact the Division of Trading and Markets for general information:

**Main Office**Phone: 202-551-5777Fax: 202-772-9273Email: tradingandmarkets@sec.gov

## Operating Status

Division of Trading and MarketsMarch 20, 2020

## What's New

                                            - Division of Trading and Markets Actions During Government Shutdown  March 23, 2024
                                            - Frequently Asked Questions on Form CRS  Dec. 8, 2023
                                            - Frequently Asked Questions Regarding Chief Compliance Officer Annual Reports Submitted by Security-Based Swap Dealers and Major Security-Based Swap Participants  March 3, 2023

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Career Opportunities

*Modified: Oct. 1, 2020*

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