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17d-2 Plans for Allocation of Regulatory Responsibilities: 2007 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
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
*  File Number List

Additional Archives

Chronological List
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

Bilateral Plans

 

http://www.sec.gov/rules/sro/17d-2/17d-2-archive/17d-2-2007.shtml


Modified: 06/23/2011