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17d-2 Plans for Allocation of Regulatory Responsibilities: 2006 Archive

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.

*  Chronological List
Third Quarter  | Second Quarter
*  File Number List

Additional Archives

Chronological List
Release No. Date Details
Third Quarter

4-523
34-54394 Aug. 31, 2006 Order Approving and Declaring Effective a Plan for Allocation of Regulatory Responsibilities Between NYSE Arca, Inc. and the National Association of Securities Dealers, Inc.
See also:  Notice: Release No. 34-54224

4-523
34-54224 Jul. 27, 2006 Notice of Filing of the Plan for Allocation of Regulatory Responsibilities Between NYSE Arca, Inc. and the National Association of Securities Dealers, Inc.
Comments due: August 23, 2006
Additional Materials:  17d-2 Plan; Certification for 17d-2 Plan
See also:  Order: Release No. 34-54394

4-517
34-54136 Jul. 12, 2006 Order Granting Approval of Plan for Allocation of Regulatory Responsibilities Between The NASDAQ Stock Market LLC and the National Association of Securities Dealers, Inc.
See also:  Notice: Release No. 34-53628
Second Quarter

4-517
34-53628 Apr. 10, 2006 Notice of Filing of the Plan for Allocation of Regulatory Responsibilities Between The NASDAQ Stock Market LLC and the National Association of Securities Dealers, Inc.
Comments Due: May 8, 2006
See also:  Order: Release No. 34-54136

File Number List

Multiparty Plans

Bilateral Plans

 

http://www.sec.gov/rules/sro/17d-2/17d-2-archive/17d-2-2006.shtml


Modified: 06/23/2011