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 |  Third Quarter |  Second Quarter |  First Quarter

17d-2 File Number List for 2021

Additional Archives

Chronological List for 2021

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Release No. Date Details
Fourth Quarter
4-700
34-93324 Oct. 14, 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 Investors' Exchange LLC
Comments due: November 10, 2021
Comments received are available for this proposal.
Third Quarter
4-575
34-93114 Sep. 23, 2021 Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., The Nasdaq Stock Market LLC, and Nasdaq BX, Inc.
Comments due: October 20, 2021
Comments received are available for this proposal.
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
Comments received are available for this proposal.

File Number List

Multiparty Plans

Bilateral Plans