Trading and Markets Division

E592979

division of the U.S. Securities and Exchange Commission financial regulatory authority division

The Trading and Markets Division is a unit of the U.S. Securities and Exchange Commission responsible for overseeing securities markets, broker-dealers, and market infrastructure to ensure fair, orderly, and efficient trading.

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All labels observed (1)

Label	Occurrences
Trading and Markets Division canonical	1

Statements (50)

Predicate	Object
instanceOf	division of the U.S. Securities and Exchange Commission ⓘ financial regulatory authority division ⓘ
abbreviation	TM NERFINISHED ⓘ
collaboratesWith	Division of Corporation Finance NERFINISHED ⓘ Division of Enforcement NERFINISHED ⓘ Division of Investment Management NERFINISHED ⓘ Office of Compliance Inspections and Examinations NERFINISHED ⓘ
country	United States of America ⓘ surface form: United States
goal	facilitate capital formation ⓘ maintain fair and orderly markets ⓘ protect investors ⓘ
jurisdiction	U.S. federal securities markets ⓘ
locatedIn	Washington, D.C. ⓘ
oversees	FINRA NERFINISHED ⓘ MSRB NERFINISHED ⓘ SIPC NERFINISHED ⓘ clearing agencies ⓘ national securities exchanges ⓘ registered broker-dealers ⓘ
parentOrganization	U.S. Securities and Exchange Commission NERFINISHED ⓘ
partOf	operating divisions of the SEC ⓘ
regulates	clearing and settlement of securities transactions ⓘ customer protection rules for broker-dealers ⓘ dark pools and alternative trading systems ⓘ high-frequency trading practices ⓘ margin requirements for broker-dealers ⓘ market access risk management ⓘ market structure for equities ⓘ market structure for fixed income securities ⓘ market structure for options ⓘ net capital requirements for broker-dealers ⓘ order routing and execution practices ⓘ securities lending and borrowing ⓘ short selling practices ⓘ trading halts and circuit breakers ⓘ
responsibility	overseeing market infrastructure ⓘ overseeing securities markets ⓘ oversight of alternative trading systems ⓘ oversight of clearing agencies ⓘ oversight of securities exchanges ⓘ oversight of securities information processors ⓘ oversight of self-regulatory organizations ⓘ oversight of transfer agents ⓘ promoting efficient trading ⓘ promoting fair trading ⓘ promoting orderly trading ⓘ regulating broker-dealers ⓘ
subjectArea	broker-dealer regulation ⓘ market structure ⓘ securities regulation ⓘ

Referenced by (1)

Full triples — surface form annotated when it differs from this entity's canonical label.

Division of Trading and Markets of the SEC → alternativeName → Trading and Markets Division ⓘ

subject surface form: Division of Trading and Markets