17d-2 Plans for Allocation of Regulatory Responsibilities Rulemaking
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Self-Regulatory Organization Rulemaking Table
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File Number
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SRO Organization
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Details
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| Release Number:34-63103 | SEC Issue Date:Oct 14, 2010 | 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 American Stock Exchange LLC, 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., 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 LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules |
| Release Number:34-62866 | SEC Issue Date:Sep 8, 2010 | File Number:4-274 | 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 Chicago Stock See Also - Release No. 34-62657 |
| Release Number:34-62657 | SEC Issue Date:Aug 5, 2010 | File Number:4-274 | SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities |
Details: Notice of Filing of an Amended 17d-2 Plan Between the Financial Industry Regulatory Authority, Inc. and the Chicago Stock Exchange, Inc. See Also - Release No. 34-62866 |
| Release Number:34-62000 | SEC Issue Date:Apr 29, 2010 | File Number:4-596 | 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 International Securities Exchange, LLC and the Financial Industry Re See Also - Release No. 34-61853 |
| Release Number:34-61919 | SEC Issue Date:Apr 15, 2010 | 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 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 |
| Release Number:34-61853 | SEC Issue Date:Apr 6, 2010 | File Number:4-596 | 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 International Securities Exchange, LLC and the Financial Industry Regulatory Auth See Also - Release No. 34-62000 |
| Release Number:34-61589 | SEC Issue Date:Feb 25, 2010 | 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 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 |
| Release Number:34-61588 | SEC Issue Date:Feb 25, 2010 | 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 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 |
| Release Number:34-60409 | SEC Issue Date:Jul 30, 2009 | File Number:4-587 | SRO Organization:17d-2 Plans for Allocation of Regulatory Responsibilities |
Details: 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 |
| Release Number:34-59218 | SEC Issue Date:Jan 8, 2009 | File Number:4-575 | 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 Boston Stock E See Also - Rel. No. 34-59101 |