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17d-2 Plans for Allocation of Regulatory Responsibilities: 2008 Archive
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
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| Release No. |
Date |
Details |
| Fourth Quarter |
4-574 |
|
34-59134 |
Dec. 22, 2008 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the Financial Industry Regulatory Authority, Inc.
See also:
Notice: Rel. No. 34-59003
|
4-575 |
|
34-59101 |
Dec. 15, 2008 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Boston Stock Exchange, Incorporated
Comments Due: January 6, 2008
See also:
Order: Rel. No. 34-59218
|
4-574 |
|
34-59003 |
Nov. 24, 2008 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the Financial Industry Regulatory Authority, Inc.
File No.: 4-574
Comments Due: December 22, 2008
See also:
Order: Rel. No. 34-59134
|
4-566 |
|
34-58806 |
Oct. 17, 2008 |
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, BATS Exchange, Inc., Boston Stock Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE Arca Inc., NYSE Regulation, Inc., and Philadelphia Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules
Comments Due: November 13, 2008
See also:
Amended Plan;
Notice: Rel. No. 34-58350;
Order: Rel. No. 34-58536
|
4-551 |
|
34-58765 |
Oct. 9, 2008 |
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, NYSE Arca, Inc., and NASDAQ OMX PHLX, Inc. Relating to Options Market Surveillance
Comments due: November 10, 2008
See also:
Notice/Order: Rel. No. 34-57649;
Order: Rel. No. 34-56941;
Notice: Rel. No. 34-56731
|
| Third Quarter |
4-566 |
|
34-58536 |
Sep. 12, 2008 |
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, Boston Stock Exchange, Inc., CBOE Stock Exchange, LLC, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE Arca Inc., NYSE Regulation, Inc., and Philadelphia Stock Exchange, Inc.
See also:
Notice/Order: Rel. No. 34-58806;
Notice: Rel. No. 34-58350
|
4-566 |
|
34-58350 |
Aug. 13, 2008 |
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, Boston Stock Exchange, Inc., CBOE Stock Exchange, LLC, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE Arca Inc., NYSE Regulation, Inc., and Philadelphia Stock Exchange, Inc.
Comments Due: September 8, 2008
See also:
Order: Rel. No. 34-58536
|
| Second Quarter |
S7-966 |
|
34-57987 |
Jun. 18, 2008 |
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, the NYSE Arca, Inc., The NASDAQ Stock Market LLC, and the Philadelphia Stock Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
|
4-551 |
|
34-57649 |
Apr. 11, 2008 |
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc.)
Comments due: May 8, 2008
See also:
Notice/Order: Rel. No. 34-58765;
Order: Rel. No. 34-56941;
Notice: Rel. No. 34-56731
|
| First Quarter |
S7-966 |
|
34-57481 |
Mar. 12, 2008 |
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange, LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due: April 8, 2008
|
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. File No. 4-762: Financial Industry Regulatory Authority, Inc. and MEMX LLC
http://www.sec.gov/rules/sro/17d-2/17d-2-archive/17d-2-2008.shtml
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