The SEC Division of Trading and Markets, as Paul Greene and SEC experts understand, is responsible for assisting the Securities and Exchange Commission in the execution of the agency’s responsibility for ensuring the orderly, fair and efficient operation of current day securities markets. The division’s personnel are responsible for the oversight of the major players in the securities market, which includes self-regulatory organizations (SROs) securities firms, securities Exchange and more.
Paul Greene and SEC experts understand that the Division of Trading and Markets provide invaluable oversight of such self-regulatory organizations as the Municipal Securities Rulemaking Board, or MSRB, and the Financial Industry Regulatory Authority, or FInRA. The SROs also under the division’s oversight include transfer agents, clearing agencies that assist with the facilitation of trade settlement, credit rating agencies and securities information processors.
Paul Greene and SEC experts also know that this particular division oversees the Securities Investor Protector Corporation. Additional division responsibilities, according to Paul Greene and SEC experts, include the review of new rule proposal and amendments to existing rules by SROs, effectively carrying out the SEC’s financial integrity program for broker-dealers, general surveillance of the market and assisting the SEC in rule establishment and interpretation.
Paul Greene and SEC experts believe the Division of Trading and Markets fills an important role in the organization. They know that along with the other four SEC divisions, this particular division is essential to the continued regulatory success of the SEC, and will continue to be for many years to come.