Securities and Exchange Commission
Document Headings Document headings vary by document type but may contain the following: the agency or agencies that issued and signed a document the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to the agency docket number / agency internal file number the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions See the Document Drafting Handbook for more details. Securities and Exchange Commission [Release No. 34-105332; File No. 4-700] April 28, 2026. Notice is hereby given that the Securities and Exchange Commission (“Commission”) has issued an Order, pursuant to Section 17(d) of the Securities Exchange Act of 1934 (“Act”), [ 1 ] approving and declaring effective an amendment to the plan for allocating regulatory responsibility (“Plan”) filed on April 15, 2026, pursuant to Rule 17d-2 of the Act, [ 2 ] by the Financial Industry Regulatory Authority, Inc. (“FINRA”) and Investors Exchange LLC (“IEX”) (together, the “Parties”). This Agreement amends and restates the agreement entered into between FINRA and IEX approved by the SEC on October 14, 2021, entitled “Agreement between Financial Industry Regulatory Authority, Inc. and Investors' Exchange LLC pursuant to Rule 17d-2 under the Securities Exchange Act of 1934,” and any subsequent amendments thereafter. I. Introduction Section 19(g)(1) of the Act, [ 3 ] among other things, requires every self-regulatory organization (“SRO”) registered as either a national securities exchange or national securities association to examine for, and enforce compliance by, its members and persons associated with its members with the Act, the rules and regulations thereunder, and the SRO's own rules, unless the SRO is relieved of this responsibility pursuant to Section 17(d) or Section 19(g)(2) of the Act. [ 4 …
Citation: 91 FR 23506
