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17d-2 Plans for Allocation of Regulatory Responsibilities

We encourage the public to submit comments on the following 17d-2 Plans for Allocation of Regulatory Responsibilities during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Fourth Quarter |  Second Quarter

Additional Archives

Release No. Date Details
Fourth Quarter

4-678
34-73383 Oct. 17, 2014 Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Miami International Securities Exchange, LLC
Comments due: 21 days after publication in the Federal Register
Second Quarter

4-536
34-72137 May 9, 2014 Order Approving and Declaring Effective a Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., the Chicago Board Options Exchange, Incorporated, and C2 Options Exchange, Incorporated
See also: Notice: Rel. No. 34-71964

4-536
34-71964 Apr. 17, 2014 Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., the Chicago Board Options Exchange, Incorporated, and C2 Options Exchange, Incorporated
Comments due: May 8, 2014
See also: Notice: Rel. No. 34-72137

File Number List

Multiparty Plans

Bilateral Plans

 

http://www.sec.gov/rules/sro/17d-2.shtml


Modified: 10/20/2014