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File No. 4-663: Financial Industry Regulatory Authority, Inc. and Topaz Exchange, LLC

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

4-663
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

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

 

http://www.sec.gov/rules/sro/17d-2/4-663.shtml


Modified: 08/20/2013