Division of Trading and Markets

List of Frequently Asked Questions

• 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.
     Submit comments on S7-24-08
   
• Guidance Regarding Temporary Rule 204T (September 23, 2008)
   
• Guidance Regarding the Commission's Emergency Order Concerning Short Selling
     Comments received are available.
     Submit comments on S7-20-08
   
• 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 08/28/2009
   
• 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)
   

http://www.sec.gov/divisions/marketreg/mrfaq.htm