SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


File No. 4-536: Chicago Board Options Exchange, Incorporated 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

4-536
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

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: 15 days after publication in the Federal Register

4-536
34-55755 May 14, 2007 Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Chicago Board Options Exchange, Incorporated and the National Association of Securities Dealers, Inc.

4-536
34-55612 Apr. 10, 2007 Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Chicago Board Options Exchange, Incorporated and the National Association of Securities Dealers, Inc.
File No.:  4-536
Comments Due:  May 9, 2007

 

http://www.sec.gov/rules/sro/17d-2/4-536.shtml


Modified: 05/12/2014