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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 |
34-90704 |
Dec. 17, 2020 |
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 Nasdaq GEMX, LLC
Comments due: 21 days after publication in the Federal Register
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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
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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
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http://www.sec.gov/rules/sro/17d-2/4-663.shtml
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