Notice Rule

Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq PHLX LLC

Joint Industry Plans, 17d-2 Plans for Allocation of Regulatory Responsibilities

Title
Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq PHLX LLC
Release Number
34-99260
SEC Issue Date

Resources

Order Rule: SEC Issued Version (pdf 132.26 KB)

Title
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq PHLX LLC
Release Number
34-99065
SEC Issue Date

Resources

Notice Rule: SEC Issued Version (pdf 240.22 KB)

Last Reviewed or Updated: Aug. 6, 2024