17d-2 Plans for Allocation of Regulatory Responsibilities Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-76056 | Sep 30, 2015 | 4-618 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between BATS Exchange, Inc., BATS Y-Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. View Received Comments See Also - Rel. No. 34-76311 |
| 34-73641 | Nov 19, 2014 | 4-678 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Miami See Also - Rel. No. 34-79974, Rel. No. 34-79779, Rel. No. 34-73383 |
| 34-73383 | Oct 17, 2014 | 4-678 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Miami International Securities Exchange, LLC See Also - Rel. No. 34-79974, Rel. No. 34-79779, Rel. No. 34-73641 |
| 34-72137 | May 9, 2014 | 4-536 | 17d-2 Plans for Allocation of Regulatory Responsibilities | 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 - Rel. No. 34-71964 |
| 34-71964 | Apr 17, 2014 | 4-536 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., the Chicago Board Options See Also - Rel. No. 34-72137 |
| 34-70228 | Aug 19, 2013 | 4-663 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Topaz Exchange See Also - Rel. No. 34-70053 |
| 34-70053 | Jul 26, 2013 | 4-663 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Topaz Exchange, LLC |
| 34-70052 | Jul 26, 2013 | 4-551 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., Miami International Securities Exchange, LLC, and Topaz Exchange, LLC Concerning Options-Related Market Surveillance |
| 34-70051 | Jul 26, 2013 | S7-966 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., Miami International Securities Exchange, LLC, and Topaz Exchange, LLC (the "parties") Concerning Options-Related Sales Practice Matters |
| 34-65991 | Dec 16, 2011 | 4-566 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules |