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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 |
34-90985 |
Jan. 25, 2021 |
Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and NYSE Arca, Inc.
Comments due: February 19, 2021
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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.
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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.
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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
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http://www.sec.gov/rules/sro/17d-2/4-523.shtml
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