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17d-2 Plans for Allocation of Regulatory Responsibilities: 2009 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.
Additional Archives
2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
| Release No. |
Date |
Details |
| Third Quarter |
4-587 |
| 34-60409 |
Jul. 30, 2009 |
Notice of Filing and Order Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., New York Stock Exchange LLC, NYSE Regulation, Inc. and NYSE Amex LLC
Comments Due: August 27, 2009
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| First Quarter |
4-575 |
| 34-59218 |
Jan. 8, 2009 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Boston Stock Exchange, Incorporated
See also: Notice: Rel. No. 34-59101
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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-2/17d-2-archive/17d-2-2009.shtml
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