Regulation & law · 24/09/2008

Allocation of Regulatory Responsibilities Plan Between FINRA and BATS Exchange, Inc.

The Financial Industry Regulatory Authority (FINRA) and BATS Exchange, Inc. have filed a proposed plan to allocate regulatory responsibilities between the two organizations, pursuant to Rule 17d-2. The plan aims to establish a framework for the sharing of regulatory duties and oversight between FINRA and BATS.