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17d-2 Plans for Allocation of Regulatory Responsibilities: 2012 Archives

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

Release No. Date Details

S7-966
34-68363 Dec. 5, 2012 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., BOX Options Exchange, LLC, the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, LLC, Concerning Options-Related Sales Practice Matters
Comments due: January 2, 2013
* Submit comments on S7-966

4-551
34-68362 Dec. 5, 2012 Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc,. the NASDAQ OMX PHLX, Inc. and Miami International Securities Exchange, LLC Concerning Options-Related Market Surveillance
Comments due: January 2, 2013
* Submit comments on 4-551

4-551
34-66975 May 11, 2012 Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE Amex LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, the BOX Options Exchange LLC, NASDAQ OMX BX, Inc. and the NASDAQ OMX PHLX, Inc. Concerning Options-Related Market Surveillance
Comments due:  June 8, 2012
Comments received are available for this proposal.

S7-966
34-66974 May 11, 2012 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., BOX Options Exchange, LLC, 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:  June 8, 2012

File Number List

Multiparty Plans

Bilateral Plans

 

http://www.sec.gov/rules/sro/17d-2/17d-2-archive/17d-2-2012.shtml


Modified: 07/26/2013