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Self-Regulatory Organization Rulemaking Table

File Number
SRO Organization
Details
Release Number:34-77148 SEC Issue Date:Feb 16, 2016 File Number:S7-966 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 Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Sales Practice Matters
Release Number:34-77122 SEC Issue Date:Feb 11, 2016 File Number:4-697 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and ISE Mercury, LLC
Release Number:34-77089 SEC Issue Date:Feb 9, 2016 File Number:4-694 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 the Natio
Release Number:34-76856 SEC Issue Date:Jan 8, 2016 File Number:4-694 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the National Stock Exchange, In
Release Number:34-76311 SEC Issue Date:Oct 29, 2015 File Number:4-618 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 BATS Exchange, Inc., BATS Y-Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Relating to Regulation NMS Rules
See Also - Rel. No. 34-76056
Release Number:34-76310 SEC Issue Date:Oct 29, 2015 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 Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Market Surveillance
Release Number:34-76309 SEC Issue Date:Oct 29, 2015 File Number:S7-966 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 Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Sales Practice Matters
Release Number:34-76056 SEC Issue Date:Sep 30, 2015 File Number:4-618 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 BATS Exchange, Inc., BATS Y-Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.
See Also - Rel. No. 34-76311
Release Number:34-73641 SEC Issue Date:Nov 19, 2014 File Number:4-678 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 the Miami
See Also - Rel. No. 34-79974, Rel. No. 34-79779, Rel. No. 34-73383
Release Number:34-73383 SEC Issue Date:Oct 17, 2014 File Number:4-678 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: 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
See Also - Rel. No. 34-79974, Rel. No. 34-79779, Rel. No. 34-73641
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