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17d-2 Plans for Allocation of Regulatory Responsibilities: 2010 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 |
| Fourth Quarter |
4-618 |
| 34-63430 |
Dec. 3, 2010 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between 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
See also: Notice: Release No. 34-63230
|
4-618 |
| 34-63230 |
Nov. 2, 2010 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between 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
Comments due: November 29, 2010
See also: Order: Release No. 34-63430
|
4-566 |
| 34-63103 |
Oct. 14, 2010 |
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among American Stock Exchange LLC, BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Regulation, Inc., NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules
Comments due: 21 days after publication in the Federal Register
 Submit comments on 4-566
|
4-613 |
| 34-63102 |
Oct. 14, 2010 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BATS-Y Exchange, Inc.
See also: Notice: Release No. 34-62935
|
| Third Quarter |
4-613 |
| 34-62935 |
Sep. 17, 2010 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BATS-Y Exchange, Inc.
Comments due: October 8, 2010
See also: Order: Release No. 34-63102
|
4-274 |
| 34-62866 |
Sep. 8, 2010 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Chicago Stock Exchange, Inc.
See also: Notice: Release No. 34-62657
|
4-274 |
| 34-62657 |
Aug. 5, 2010 |
Notice of Filing of an Amended 17d-2 Plan Between the Financial Industry Regulatory Authority, Inc. and the Chicago Stock Exchange, Inc.
Comments due: September 2, 2010
See also: Order: Release No. 34-62866
|
| Second Quarter |
4-598 |
| 34-62079 |
May 11, 2010 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and EDGX Exchange, Inc
See also: Notice: Release No. 34-61861
|
4-597 |
| 34-62078 |
May 11, 2010 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and EDGA Exchange, Inc.
See also: Notice: Release No. 34-61860
|
4-596 |
| 34-62000 |
Apr. 29, 2010 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities between the International Securities Exchange, LLC and the Financial Industry Regulatory Authority, Inc. Concerning Ballista Securities LLC
See also: Notice: Release No. 34-61853
|
4-566 |
| 34-61919 |
Apr. 15, 2010 |
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Regulation, Inc., NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules
Comments due: May 13, 2010
|
4-598 |
| 34-61861 |
Apr. 7, 2010 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between EDGX Exchange, Inc. and the Financial Industry Regulatory Authority, Inc.
Comments due: April 28, 2010
See also: Order: Release No. 34-62079
|
4-597 |
| 34-61860 |
Apr. 7, 2010 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between EDGA Exchange, Inc. and the Financial Industry Regulatory Authority, Inc.
Comments due: April 28, 2010
See also: Order: Release No. 34-62078
|
4-596 |
| 34-61853 |
Apr. 6, 2010 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the Financial Industry Regulatory Authority, Inc. Concerning Ballista Securities LLC
Comments due: April 28, 2010
See also: Order: Release No. 34-62000
|
| First Quarter |
S7-966 |
| 34-61589 |
Feb. 25, 2010 |
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the BATS Exchange, Inc., the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Amex LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Sales Practice Matters
Comments due: March 25, 2010
|
4-551 |
| 34-61588 |
Feb. 25, 2010 |
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the NYSE Amex LLC, BATS Exchange, Inc., C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. concerning options-related market surveillance
Comments due: March 25, 2010
|
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-2-2010.shtml
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