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
Fourth Quarter |
17d-2 File Number List for 2022
Additional Archives
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Chronological List for 2022
Release No. | Date | Details |
---|---|---|
Fourth Quarter | ||
4-551 | ||
34-96383 | Nov. 23, 2022 | Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The Nasdaq Stock Market LLC, BOX Exchange LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, and MEMX LLC Concerning Options-Related Market Surveillance
Comments due: December 21, 2022 |
4-762 | ||
34-96101 | Oct. 18, 2022 | 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 MEMX LLC
Comments due: November 14, 2022 |
S7-966 | ||
34-96100 | Oct. 18, 2022 | Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., BOX Exchange, LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, NYSE American LLC, NYSE Arca, Inc., The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, Nasdaq GEMX, LLC, Cboe EDGX Exchange, Inc., Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC and MEMX LLC Concerning Options-Related Sales Practice Matters
Comments due: November 14, 2022 |
File Number List
Multiparty Plans
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. 4-663: Financial Industry Regulatory Authority, Inc. and Topaz 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. 4-747: Financial Industry Regulatory Authority, Inc. and the Long-Term Stock Exchange, Inc.
File No. 4-762: Financial Industry Regulatory Authority, Inc. and MEMX LLC