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.

Additional Archives

2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006

Release No.	Date	Details
S7-966
34-68363	Dec. 5, 2012	Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the BATS Exchange, Inc., BOX Options Exchange, LLC, the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, LLC, Concerning Options-Related Sales Practice Matters Comments due: January 2, 2013  Submit comments on S7-966
4-551
34-68362	Dec. 5, 2012	Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc,. the NASDAQ OMX PHLX, Inc. and Miami International Securities Exchange, LLC Concerning Options-Related Market Surveillance Comments due: January 2, 2013  Submit comments on 4-551
4-551
34-66975	May 11, 2012	Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE Amex LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, the BOX Options Exchange LLC, NASDAQ OMX BX, Inc. and the NASDAQ OMX PHLX, Inc. Concerning Options-Related Market Surveillance Comments due:  June 8, 2012 Comments received are available for this proposal.
S7-966
34-66974	May 11, 2012	Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the BATS Exchange, Inc., BOX Options Exchange, LLC, the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Amex LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Sales Practice Matters Comments due:  June 8, 2012

File Number List

Multiparty Plans

• File No. S7-966: Options-Related Sales Practice Matters

• File No. 4-551: Options-Related Market Surveillance

• File No. 4-566: Surveillance, Investigation, and Enforcement of Insider Trading Rules

• File No. 4-618: BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to Regulation NMS Rules

Bilateral Plans

• File No. 4-274: Financial Industry Regulatory Authority, Inc. and the Chicago Stock Exchange, Inc.

• File No. 4-517: NASDAQ Stock Market LLC and the National Association of Securities Dealers, Inc.

• File No. 4-523: NYSE Arca, Inc. and the National Association of Securities Dealers, Inc.

• File No. 4-529: International Securities Exchange, LLC and the National Association of Securities Dealers, Inc.

• File No. 4-536: Chicago Board Options Exchange, Incorporated and the National Association of Securities Dealers, Inc.

• File No. 4-544: National Association of Securities Dealers, Inc., New York Stock Exchange LLC, and NYSE Regulation, Inc.

• File No. 4-569: Financial Industry Regulatory Authority, Inc. and BATS Exchange, Inc.

• File No. 4-574: International Securities Exchange, LLC and the Financial Industry Regulatory Authority, Inc.

• File No. 4-575: Financial Industry Regulatory Authority, Inc. and the Boston Stock Exchange, Incorporated

• File No. 4-587: Financial Industry Regulatory Authority, Inc., New York Stock Exchange LLC, NYSE Regulation, Inc. and NYSE Amex LLC

• File No. 4-596: International Securities Exchange, LLC and the Financial Industry Regulatory Authority, Inc. Concerning Ballista Securities LLC

• File No. 4-597: EDGA Exchange, Inc. and the Financial Industry Regulatory Authority, Inc.

• File No. 4-598: EDGX Exchange, Inc. and the Financial Industry Regulatory Authority, Inc.

• File No. 4-613: Financial Industry Regulatory Authority, Inc. and BATS-Y Exchange, Inc.

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