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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.

Additional Archives

Release No. Date Details

4-697
34-77122 Feb. 11, 2016 Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and ISE Mercury, LLC
Comments due: 15 days from publication in the Federal Register

4-694
34-77089 Feb. 9, 2016 Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the National Stock Exchange, Inc.

4-694
34-76856 Jan. 8, 2016 Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the National Stock Exchange, Inc.
Comments due: January 29, 2015

File Number List

Multiparty Plans

Bilateral Plans

 

http://www.sec.gov/rules/sro/17d-2.shtml


Modified: 02/11/2016