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17d-2 Plans for Allocation of Regulatory Responsibilities: 2014
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.
Fourth Quarter |
Second Quarter
Additional Archives
2022 | 2021 | 2020 | 2019 | 2018 | 2017| 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
| Release No. |
Date |
Details |
| Fourth Quarter |
4-678 |
| 34-73641 |
Nov. 19, 2014 |
Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Miami International Securities Exchange, LLC
See also: Order: Rel. No. 34-79974; Notice: Rel. No. 34-79779; Notice: Rel. No. 34-73383
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4-678 |
| 34-73383 |
Oct. 17, 2014 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Miami International Securities Exchange, LLC
Comments due: November 7, 2014
See also: Order: Rel. No. 34-79974; Notice: Rel. No. 34-79779; Order: Rel. No. 34-73641
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| Second Quarter |
4-536 |
| 34-72137 |
May 9, 2014 |
Order Approving
and Declaring Effective a Proposed Amended Plan for the Allocation of Regulatory
Responsibilities Between the Financial Industry Regulatory Authority, Inc., the Chicago Board
Options Exchange, Incorporated, and C2 Options Exchange, Incorporated
See also: Notice: Rel. No. 34-71964
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4-536 |
| 34-71964 |
Apr. 17, 2014 |
Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., the Chicago Board Options Exchange, Incorporated, and C2 Options Exchange, Incorporated
Comments due: May 8, 2014
See also: Notice: Rel. No. 34-72137
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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-2-2014.shtml
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