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
Second Quarter |  First Quarter

17d-2 File Number List for 2017

Additional Archives

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Chronological List for 2017

Release No.	Date	Details
Second Quarter
4-709
34-80388	Apr. 6, 2017	Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options Exchange LLC See also: Notice: Rel. No. 34-80240
First Quarter
4-709
34-80240	Mar. 14, 2017	Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options Exchange LLC See also: Notice: Rel. No. 34-80388
4-678
34-79974	Feb. 6, 2017	Order Approving and Declaring Effective a Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC See also: Notice: Rel. No. 34-73383, Notice: Rel. No. 34-73641, Notice: Rel. No. 34-79779
4-551
34-79930	Feb. 2, 2017	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 BZX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the Bats EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ BX, Inc., the NASDAQ PHLX, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL Concerning Options-Related Market Surveillance Comments due:  March 1, 2017 Submit Comments on 4-618
S7-966
34-79929	Feb. 2, 2017	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 BZX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, Bats EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ BX, Inc., the NASDAQ PHLX, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC Concerning Options-Related Sales Practice Matters Comments due:  March 1, 2017 Submit Comments on s7-966
4-618
34-79928	Feb. 2, 2017	Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, Investors Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, The NASDAQ Stock Market LLC, NASDAQ BX, Inc., NASDAQ PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments due:  March 1, 2017 See also: Notice: Rel. No. 34-78552 Submit Comments on 4-618
4-678
34-79779	Jan. 12, 2017	Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC See also: Order: Rel. No. 34-79974, Notice: Rel. No. 34-73383, Notice: Rel. No. 34-73641

File Number List

Multiparty Plans

• File No. S7-966: Options-Related Sales Practice Matters

• File No. 4-551: Options-Related Market Surveillance

• File No. 4-566: Surveillance, Investigation, and Enforcement of Insider Trading Rules

• File No. 4-618: BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to Regulation NMS Rules

Bilateral Plans

• File No. 4-274: Financial Industry Regulatory Authority, Inc. and the Chicago Stock Exchange, Inc.

• File No. 4-517: NASDAQ Stock Market LLC and the National Association of Securities Dealers, Inc.

• File No. 4-523: NYSE Arca, Inc. and the National Association of Securities Dealers, Inc.

• File No. 4-529: International Securities Exchange, LLC and the National Association of Securities Dealers, Inc.

• File No. 4-536: Chicago Board Options Exchange, Incorporated and the National Association of Securities Dealers, Inc.

• File No. 4-544: National Association of Securities Dealers, Inc., New York Stock Exchange LLC, and NYSE Regulation, Inc.

• File No. 4-574: International Securities Exchange, LLC and the Financial Industry Regulatory Authority, Inc.

• File No. 4-575: Financial Industry Regulatory Authority, Inc. and the Boston Stock Exchange, Incorporated

• File No. 4-587: Financial Industry Regulatory Authority, Inc., New York Stock Exchange LLC, NYSE Regulation, Inc. and NYSE Amex LLC

• File No. 4-596: International Securities Exchange, LLC and the Financial Industry Regulatory Authority, Inc. Concerning Ballista Securities LLC

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

• File No. 4-678: Financial Industry Regulatory Authority, Inc. and the Miami International Securities Exchange, LLC

• File No. 4-694: Financial Industry Regulatory Authority, Inc. and the National Stock Exchange, Inc.

• File No. 4-697: Financial Industry Regulatory Authority, Inc. and ISE Mercury, LLC

• File No. 4-700: Financial Industry Regulatory Authority, Inc. and the Investors' Exchange LLC

• File No. 4-705: Financial Industry Regulatory Authority, Inc., Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., and Bats EDGX Exchange, Inc.

• File No. 4-709: Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options Exchange LLC