17d-2 Plans for Allocation of Regulatory Responsibilities Rulemaking

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Release Number SEC Issue Date File Number SRO Organization Details
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
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