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Self-Regulatory Organization Rulemaking Table

File Number
SRO Organization
Details
Release Number:34-84997 SEC Issue Date:Jan 29, 2019 File Number:4-678 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: 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, MIAX PEARL, LLC, and MIAX EMERALD, LLC.
Release Number:34-84502 SEC Issue Date:Oct 30, 2018 File Number:4-694 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: 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 NYSE National, Inc.
Release Number:34-84392 SEC Issue Date:Oct 10, 2018 File Number:4-566 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: 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., Chicago Stock Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., 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., and Investors Exchange LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules
Release Number:34-83696 SEC Issue Date:Jul 24, 2018 File Number:4-678 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: Program for Allocation of Regulatory Responsibilities Pursuant to Rule17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC
Release Number:34-83477 SEC Issue Date:Jun 20, 2018 File Number:4-709 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authorit
Release Number:34-83208 SEC Issue Date:May 10, 2018 File Number:4-536 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: Program for Allocation of Regulatory Responsibilities Pursuant To Rule 17d-2; 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., Cboe Exchange, Inc., and Cboe C2 Exchange, Inc.
Release Number:34-80388 SEC Issue Date:Apr 6, 2017 File Number:4-709 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Optio
See Also - Rel. No. 34-80240
Release Number:34-80240 SEC Issue Date:Mar 14, 2017 File Number:4-709 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options Exchange LL
See Also - Rel. No. 34-80388
Release Number:34-79974 SEC Issue Date:Feb 6, 2017 File Number:4-678 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: Order Approving and Declaring Effective a Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami
See Also - Rel. No. 34-73383, Rel. No. 34-73641, Rel. No. 34-79779
Release Number:34-79930 SEC Issue Date:Feb 2, 2017 File Number:4-551 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, Bats BZX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the Bats EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ BX, Inc., the NASDAQ PHLX, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL Concerning Options-Related Market Surveillance
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