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17d-2 Plans for Allocation of Regulatory Responsibilities:
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Chronological List Fourth Quarter | First Quarter | |
File Number List |
2022 | 2021 | 2020 | 2019 | 2018 | 2017| 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
Chronological List |
Release No. | Date | Details |
First Quarter | ||
4-566 | ||
34-65991 | Dec. 16, 2011 | Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among 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., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules
Comments due: 21 days after publication in the Federal Register |
4-566 | ||
34-63750 | Jan. 21, 2011 | Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among 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., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules
Comments due: February 17, 2011 |
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. 4-663: Financial Industry Regulatory Authority, Inc. and Topaz 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. 4-747: 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.shtml
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