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 

17d-2 File Number List for 2018

Additional Archives

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Chronological List for 2018

Release No.	Date	Details
Fourth Quarter
4-694
34-84502	Oct. 30, 2018	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 National, Inc. Comments due: November 26, 2018 Submit Comments on 4-694
4-566
34-84392	Oct. 10, 2018	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., Chicago Stock Exchange, 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., and Investors Exchange LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules Comments due: November 6, 2018 Submit Comments on 4-566
Third Quarter
4-678
34-83696	Jul. 24, 2018	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., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC Comments due: August 17, 2018 Submit Comments on 4-678
Second Quarter
4-709
34-83477	Jun. 20, 2018	Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; 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 BOX Options Exchange LLC Comments due: July 17, 2018 Submit Comments on 4-709
4-536
34-83208	May 10, 2018	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., Cboe Exchange, Inc., and Cboe C2 Exchange, Inc. Comments due:  21 days after publication in the Federal Register Submit Comments on 4-536

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