Division of Trading and Markets

The Division of Trading and Markets is a branch of the U.S. Securities and Exchange Commission (SEC) responsible for overseeing the smooth operation of securities markets. It ensures that investors can buy and sell stocks and other financial instruments fairly and transparently. This division establishes rules for broker-dealers, exchanges, and securities firms, promoting fair practices and preventing fraud. By regulating market activities, it aims to foster investor confidence and maintain the integrity of the financial system, ensuring that trading processes are orderly and efficient.