17d-2 Plans for Allocation of Regulatory Responsibilities Rulemaking
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Self-Regulatory Organization Rulemaking Table
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File Number
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SRO Organization
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Details
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| Release Number:34-99260 | SEC Issue Date:Jan 2, 2024 | File Number:4-818 | SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities |
Details: Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq PHLX LLC |
| Release Number:34-99065 | SEC Issue Date:Dec 1, 2023 | File Number:4-818 | SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities |
Details: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq PHLX LLC Comments Due: December 22, 2023 Submit a Comment on 4-818
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| Release Number:34-96383 | SEC Issue Date:Nov 23, 2022 | File Number:4-551 | SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities |
Details: Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The Nasdaq Stock Market LLC, BOX Exchange LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, and MEMX LLC Concerning Options-Related Market Surveillance Comments Due: December 21, 2022 Submit a Comment on 4-551 |
| Release Number:34-96101 | SEC Issue Date:Oct 18, 2022 | File Number:4-762 | SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities |
Details: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority and MEMX LLC Comments Due: November 14, 2022 |
| Release Number:34-96100 | SEC Issue Date:Oct 18, 2022 | File Number:S7-966 | SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities |
Details: Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., BOX Exchange, LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, NYSE American LLC, NYSE Arca, Inc., The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, Nasdaq GEMX, LLC, Cboe EDGX Exchange, Inc., Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC and MEMX LLC Concerning Options-Related Sales Practice Matters Comments Due: November 14, 2022 Submit a Comment on S7-966 |
| Release Number:34-93324 | SEC Issue Date:Oct 14, 2021 | File Number:4-700 | SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities |
Details: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authorit Comments Due: November 10, 2021 View Received Comments Submit a Comment on 4-700 |
| Release Number:34-93114 | SEC Issue Date:Sep 23, 2021 | File Number:4-575 | SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities |
Details: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Comments Due: October 20, 2021 View Received Comments Submit a Comment on 4-575 |
| Release Number:34-90985 | SEC Issue Date:Jan 25, 2021 | File Number:4-523 | SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities |
Details: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authorit Comments Due: 21 days after publication in the Federal Register View Received Comments Submit a Comment on 4-523 |
| Release Number:34-90704 | SEC Issue Date:Dec 17, 2020 | File Number:4-663 | SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities |
Details: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authorit |
| Release Number:34-90703 | SEC Issue Date:Dec 17, 2020 | File Number:4-697 | SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities |
Details: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authorit |