Division of Trading and Markets
What's New

• SEC Approves Exemptions to Allow Central Counterparty for Credit Default Swaps (Press Release No. 2008-303; Dec. 23, 2008)
   
• Municipal Securities Disclosure Amendments (Final Rule Release No. 34-59062; Dec. 5, 2008)
   
• Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies (July 2008)
   
• Compliance Guides
   
  
  • Regulation R: Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934
     
  • Amendments to Exchange Act Rule 10a-1 and Rules 201 and 200(g) of Regulation SHO
     
  • Amendments to Exchange Act Rules 203(b)(3) and 200(e) of Regulation SHO
     
  • Oversight of Nationally Recognized Statistical Rating Organizations
     
  • Short Selling in Connection with a Public Offering: Amendments to Rule 105 of Regulation M
     
• SEC Sets Fee Rates for Fiscal Year 2009 (Press Release No. 2008-70; April 30, 2008)
   
• Responses to Frequently Asked Questions Concerning Rule 611 and Rule 610 of Regulation NMS (April 4, 2008 Update)
   
• Broker-Dealer Registration Guide (April 2008)
   
• Fee Rate Advisory #7 for Fiscal Year 2008 (Press Release No. 2008-25; Feb. 29, 2008)
   
• Trading and Markets No-Action Letter: Financial Industry Regulatory Authority, re: Request for No-action Relief from Rule 17a-4 for Certain Form Filings Made on Web CRD (Feb. 19, 2008)
   
• Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association, extending February 12, 2004 letter (Jan. 10, 2008)
   
• Trading and Markets Hotline (Office of Interpretation and Guidance) — Telephone Number: 202-551-5777

The telephone number for the Trading and Markets Hotline (Office of Interpretation and Guidance) is 202-551-5777. Market participants and persons with questions relating to the secondary markets are welcome to contact the Division of Trading and Markets at that number. You may also continue to contact the Division by email at tradingandmarkets@sec.gov. (Please include a telephone number if you send us an email).

• Spotlight On: Regulation NMS
   
• Spotlight On: Short Sales