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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.

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

Additional Archives

Chronological List
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
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

File Number List

Multiparty Plans

Bilateral Plans

 

http://www.sec.gov/rules/sro/17d-2/17d-2-archive/17d-2-2009.shtml


Modified: 06/21/2011