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Self-Regulatory Organization Rulemaking Table

File Number
SRO Organization
Details
Release Number:34-72137 SEC Issue Date:May 9, 2014 File Number:4-536 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 Between the Financial Industry Regulatory Authority, Inc., the Chicago Board Options Exchange, Incorporated, and C2 Options Exchange, Incorporated
See Also - Rel. No. 34-71964
Release Number:34-71964 SEC Issue Date:Apr 17, 2014 File Number:4-536 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., the Chicago Board Options
See Also - Rel. No. 34-72137
Release Number:34-70228 SEC Issue Date:Aug 19, 2013 File Number:4-663 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Topaz Exchange
See Also - Rel. No. 34-70053
Release Number:34-70053 SEC Issue Date:Jul 26, 2013 File Number:4-663 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 Topaz Exchange, LLC
Release Number:34-70052 SEC Issue Date:Jul 26, 2013 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 International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., Miami International Securities Exchange, LLC, and Topaz Exchange, LLC Concerning Options-Related Market Surveillance
Release Number:34-70051 SEC Issue Date:Jul 26, 2013 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 International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., Miami International Securities Exchange, LLC, and Topaz Exchange, LLC (the "parties") Concerning Options-Related Sales Practice Matters
Release Number:34-65991 SEC Issue Date:Dec 16, 2011 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 BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules
Release Number:34-63750 SEC Issue Date:Jan 21, 2011 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 BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules
Release Number:34-63430 SEC Issue Date:Dec 3, 2010 File Number:4-618 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to Regulation NMS Rules
See Also - Release No. 34-63230
Release Number:34-63230 SEC Issue Date:Nov 2, 2010 File Number:4-618 SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities Details: Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to Regulation NMS Rules
See Also - Release No. 34-63430
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