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File No. 4-678: Financial Industry Regulatory Authority, Inc. and the Miami International Securities Exchange, LLC

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.

Release No. Date Details

4-678
34-79974 Feb. 6, 2017 Order Approving and Declaring Effective a Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC

4-678
34-79779 Jan. 12, 2017 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, and MIAX PEARL, LLC
Comments due: February 3, 2017

4-678
34-73641 Nov. 19, 2014 Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Miami International Securities Exchange, LLC

4-678
34-73383 Oct. 17, 2014 Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Miami International Securities Exchange, LLC
Comments due: November 7, 2014

 

http://www.sec.gov/rules/sro/17d-2/4-678.shtml


Modified: 02/06/2017