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17d-2 Plans for Allocation of Regulatory Responsibilities Archive: 2013
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.
Third Quarter
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Release No. |
Date |
Details |
Third Quarter |
4-663 |
34-70228 |
Aug. 19, 2013 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Topaz Exchange, LLC
See also:
Notice: Rel. No. 34-70053
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4-663 |
34-70053 |
Jul. 26, 2013 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Topaz Exchange, LLC
Comments due: August 16, 2013
See also:
Order: Rel. No. 34-70228
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4-551 |
34-70052 |
Jul. 26, 2013 |
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., Miami International Securities Exchange, LLC, and Topaz Exchange, LLC Concerning Options-Related Market Surveillance
Comments due: August 22, 2013
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S7-966 |
34-70051 |
Jul. 26, 2013 |
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., Miami International Securities Exchange, LLC, and Topaz Exchange, LLC (the “parties”) Concerning Options-Related Sales Practice Matters
Comments due: August 22, 2013
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File Number List
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. 4-574: 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. 4-663: Financial Industry Regulatory Authority, Inc. and Topaz Exchange, LLC
File No. 4-678: Financial Industry Regulatory Authority, Inc. and the Miami International Securities 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. 4-705: Financial Industry Regulatory Authority, Inc., Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., and Bats EDGX Exchange, Inc.
File No. 4-709: Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options 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-2/17d-2-archive/17d-2-2013.shtml
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