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17d-2 Plans for Allocation of Regulatory Responsibilities: 2007 Archive
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Release No. |
Date |
Details |
Fourth Quarter |
4-551 |
34-56941 |
Dec. 11, 2007 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
See also:
Notice: Release No. 34-56731
|
4-551 |
34-56731 |
Nov. 1, 2007 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due: November 30, 2007
See also:
Order: Release No. 34-56941
|
Third Quarter |
4-544 |
34-56148 |
Jul. 26, 2007 |
Notice of Filing and Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the National Association of Securities Dealers, Inc., New York Stock Exchange LLC, and NYSE Regulation, Inc. (Corrected to Conform to Federal Register Version)
Comments Due: August 22, 2007
|
Second Quarter |
4-536 |
34-55755 |
May 14, 2007 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Chicago Board Options Exchange, Incorporated and the National Association of Securities Dealers, Inc.
See also:
Notice: Rel. No. 34-55612
|
4-536 |
34-55612 |
Apr. 10, 2007 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Chicago Board Options Exchange, Incorporated and the National Association of Securities Dealers, Inc.
File No.: 4-536
Comments Due: May 9, 2007
See also:
Order: Rel. No. 34-55755
|
First Quarter |
S7-966 |
34-55532 |
Mar. 26, 2007 |
Order Granting Approval of Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange, LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, LLC, the NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
See also:
Notice: Release No. 34-55145
|
4-523 |
34-55505 |
Mar. 22, 2007 |
Notice of Filing and Order Approving and Declaring Effective a Revised Plan for Allocation of Regulatory Responsibilities Between NYSE Arca, Inc. and the National Association of Securities Dealers, Inc.
Additional Materials:
Agreement Between the NASD and NYSE Arca, Inc.
|
4-529 |
34-55367 |
Feb. 27, 2007 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the National Association of Securities Dealers, Inc.
See also:
Notice: Release No. 34-55057
|
S7-966 |
34-55145 |
Jan. 22, 2007 |
Notice of Filing of Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange, LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, LLC, the NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due: February 16, 2007
See also:
Order: Release No. 34-55532
|
4-529 |
34-55057 |
Jan. 8, 2007 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the National Association of Securities Dealers, Inc.
Comments due: February 7, 2007
See also:
Order: Release No. 34-55367
|
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. 4-574: 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. 4-663: Financial Industry Regulatory Authority, Inc. and Topaz Exchange, LLC
File No. 4-678: Financial Industry Regulatory Authority, Inc. and the Miami International Securities Exchange, LLC
File No. 4-694: Financial Industry Regulatory Authority, Inc. and the National Stock Exchange, Inc.
File No. 4-697: Financial Industry Regulatory Authority, Inc. and ISE Mercury, LLC
File No. 4-700: Financial Industry Regulatory Authority, Inc. and the Investors' Exchange LLC
File No. 4-705: Financial Industry Regulatory Authority, Inc., Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., and Bats EDGX Exchange, Inc.
File No. 4-709: Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options Exchange LLC
File No. 4-747: Financial Industry Regulatory Authority, Inc. and the Long-Term Stock Exchange, Inc.
File No. 4-762: Financial Industry Regulatory Authority, Inc. and MEMX LLC
http://www.sec.gov/rules/sro/17d-2/17d-2-archive/17d-2-2007.shtml
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