17d-2 Plans for Allocation of Regulatory Responsibilities Rulemaking
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Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
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34-61919 | Apr 15, 2010 | 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 the American Stock Exchange LLC, BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX 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., NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules |
34-61853 | Apr 6, 2010 | 4-596 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the Financial Industry Regulatory Auth See Also - Release No. 34-62000 |
34-61589 | Feb 25, 2010 | S7-966 | 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 the BATS Exchange, Inc., the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Amex LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Sales Practice Matters |
34-61588 | Feb 25, 2010 | 4-551 | 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 the NYSE Amex LLC, BATS Exchange, Inc., C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Market Surveillance |
34-60409 | Jul 30, 2009 | 4-587 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Notice of Filing and Order Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., New Yor |
34-59218 | Jan 8, 2009 | 4-575 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Boston Stock E See Also - Rel. No. 34-59101 |
34-59134 | Dec 22, 2008 | 4-574 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the Financial Industry Re See Also - Rel. No. 34-59003 |
34-59101 | Dec 15, 2008 | 4-575 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Boston Stock Exchange, Inco See Also - Rel. No. 34-59218 |
34-59003 | Nov 24, 2008 | 4-574 | 17d-2 Plans for Allocation of Regulatory Responsibilities | Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the Financial Industry Regulatory Auth See Also - Rel. No. 34-59134 |
34-58806 | Oct 17, 2008 | 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 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 See Also - Amended Plan, Rel. No. 34-58350, Rel. No. 34-58536 |