17d-2 Plans for Allocation of Regulatory Responsibilities Rulemaking

We encourage the public to submit comments on the following filings 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 Number SEC Issue Date File Number SRO Organization Details
34-96101 Oct 18, 2022 4-762 17d-2 Plans for Allocation of Regulatory Responsibilities Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority and MEMX LLC
Comments Due: November 14, 2022
Submit a Comment on 4-762
34-93324 Oct 14, 2021 4-700 17d-2 Plans for Allocation of Regulatory Responsibilities Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authorit
Comments Due: November 10, 2021
View Received Comments
Submit a Comment on 4-700
34-93114 Sep 23, 2021 4-575 17d-2 Plans for Allocation of Regulatory Responsibilities Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority,
Comments Due: October 20, 2021
View Received Comments
Submit a Comment on 4-575
34-90985 Jan 25, 2021 4-523 17d-2 Plans for Allocation of Regulatory Responsibilities Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authorit
Comments Due: 21 days after publication in the Federal Register
View Received Comments
Submit a Comment on 4-523
34-90704 Dec 17, 2020 4-663 17d-2 Plans for Allocation of Regulatory Responsibilities Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authorit
34-90703 Dec 17, 2020 4-697 17d-2 Plans for Allocation of Regulatory Responsibilities Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authorit
34-90702 Dec 17, 2020 4-529 17d-2 Plans for Allocation of Regulatory Responsibilities 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 Nasdaq ISE, LLC
34-89972 Sep 23, 2020 4-566 17d-2 Plans for Allocation of Regulatory Responsibilities 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., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., MEMX LLC, MIAX PEARL, LLC, 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., Investors' Exchange LLC, and Long-Term Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules
34-89788 Sep 8, 2020 4-678 17d-2 Plans for Allocation of Regulatory Responsibilities Notice of Filing and Order Approving and Declaring Effective an Amended Proposed Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC
34-89084 Jun 17, 2020 4-762 17d-2 Plans for Allocation of Regulatory Responsibilities Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC
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