17d-2 Plans for Allocation of Regulatory Responsibilities

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.

Chronological List
First Quarter

17d-2 File Number List for 2021

Additional Archives

Chronological List for 2021

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Release No. Date Details
First Quarter
4-523
34-90985 Jan. 25, 2021 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 NYSE Arca, Inc.
Comments due: 21 days after publication in the Federal Register

File Number List

Multiparty Plans

Bilateral Plans