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File No. 4-523: NYSE Arca, Inc. and the National Association of Securities Dealers, Inc.

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.

Release No. Date Details

4-523
34-55505 Mar. 22, 2007 Notice of Filing and Order Approving and Declaring Effective a Revised Plan for Allocation of Regulatory Responsibilities Between NYSE Arca, Inc. and the National Association of Securities Dealers, Inc.
Additional Materials:   Agreement Between the NASD and NYSE Arca, Inc.

4-523
34-54394 Aug. 31, 2006 Order Approving and Declaring Effective a Plan for Allocation of Regulatory Responsibilities Between NYSE Arca, Inc. and the National Association of Securities Dealers, Inc.

4-523
34-54224 Jul. 27, 2006 Notice of Filing of the Plan for Allocation of Regulatory Responsibilities Between NYSE Arca, Inc. and the National Association of Securities Dealers, Inc.
Comments due: August 23, 2006
Additional Materials:  17d-2 Plan; Certification for 17d-2 Plan

 

http://www.sec.gov/rules/sro/17d-2/4-523.shtml


Modified: 06/23/2011