Federal Register #2026-08474

SEC Notice: Amended Plan for Allocation of Regulatory Responsibilities Between FINRA and Investors Exchange LLC

This notice from the Securities and Exchange Commission (SEC) addresses regulatory coordination between major financial oversight organizations: - The SEC has approved an amended plan for allocating regulatory responsibilities between the Financial Industry Regulatory Authority, Inc. (FINRA) and Investors Exchange LLC (IEX) - The plan is established under Rule 17d-2 of the Securities Exchange Act of 1934 - Its purpose is to prevent duplication of regulatory examinations and enforcement for broker-dealers that are members of both FINRA and IEX - The notice outlines which rules and responsibilities each organization will oversee - No procurement of products or services is involved; this is a regulatory agreement - The SEC, FINRA, and IEX are the primary entities mentioned - The public is invited to comment on the proposed rule change

Description

The Securities and Exchange Commission issued a notice regarding the amended plan for the allocation of regulatory responsibilities between the Financial Industry Regulatory Authority, Inc. (FINRA) and Investors Exchange LLC (IEX) pursuant to Rule 17d-2. The plan aims to allocate regulatory responsibilities to avoid duplication of examinations and enforcement among self-regulatory organizations. The notice includes details about the amended agreement and provides multiple URLs for accessing the full text, PDF, XML, and metadata of the document. The document is published in volume 91, pages 23506 to 23512 of the Federal Register.

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