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
Third Quarter | Second Quarter  |   First Quarter

17d-2 File Number List for 2019

Additional Archives

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Chronological List for 2019

Release No.	Date	Details
Third Quarter
4-747
34-86587	Aug. 7, 2019	Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Long-Term Stock Exchange, Inc.
4-566
34-86542	Aug. 1, 2019	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., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Investors Exchange LLC, and Long-Term Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules Comments due: August 28, 2019 Submit Comments on 4-566
4-618
34-86470	Jul. 25, 2019	Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX, Inc., NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Long-Term Stock Exchange, Inc. Comments due: August 21, 2019 Submit Comments on 4-618
4-747
34-86356	Jul. 11, 2019	Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Long-Term Stock Exchange, Inc. Comments due: August 1, 2019 Submit Comments on 4-747
Second Quarter
4-274
34-86161	Jun. 20, 2019	Order Approving Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the NYSE Chicago, Inc.
First Quarter
4-274
34-85921	May 23, 2019	Notice of Filing of an Amendment to the Agreement Between the Financial Industry Regulatory Authority, Inc. and the NYSE Chicago, Inc. Comments due: June 20, 2019
4-678
34-85189	Feb. 25, 2019	Order Approving Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC
S7-966
34-85106	Feb. 12, 2019	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, and MIAX Emerald, LLC Concerning Options-Related Sales Practice Matters Comments due: March 8, 2018 Submit Comments on S7-966
4-551
34-85097	Feb. 11, 2019	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, and MIAX Emerald, LLC Concerning Options-Related Market Surveillance Comments due: March 12, 2019 Submit Comments on 4-551
4-618
34-85046	Feb. 4, 2019	Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., Chicago Stock Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX, Inc., NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. Comments due: Feburary 28, 2019 Submit Comments on 4-618
4-678
34-84997	Jan. 29, 2019	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, MIAX PEARL, LLC, and MIAX EMERALD, LLC Comments due: Feburary 19, 2019 Submit Comments on 4-678

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

• File No. 4-747: Financial Industry Regulatory Authority, Inc. and the Long-Term Stock Exchange, Inc.