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This document outlines the proposed regulatory responsibilities allocation plan between the Financial Industry Regulatory Authority, Inc. (FINRA) and the Boston Stock Exchange, Inc. (BX), aimed at
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How to fill out Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2
01
Begin by gathering relevant documentation related to your regulatory functions.
02
Identify the firms involved in the shared responsibilities.
03
Clearly outline the specific regulatory responsibilities that are being allocated.
04
Define the criteria for allocation, ensuring compliance with Rule 17d-2.
05
Draft a clear agreement among the parties about the responsibilities being allocated.
06
Include procedures for communication and reporting between firms.
07
Ensure you have all necessary approvals from your compliance team.
08
Submit the completed Program for Allocation of Regulatory Responsibilities to the appropriate regulatory authority.
Who needs Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2?
01
All registered broker-dealers.
02
Investment advisers that are subject to multiple regulators.
03
Firms that share responsibilities with other market participants.
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What is Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2?
The Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 is a regulatory framework that allows multiple self-regulatory organizations (SROs) to streamline supervision and regulatory responsibilities for broker-dealers. It enables SROs to allocate regulatory functions to ensure efficient oversight while avoiding duplicative endeavors.
Who is required to file Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2?
Broker-dealers that are members of more than one self-regulatory organization and wish to allocate regulatory responsibilities among these organizations must file the Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2.
How to fill out Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2?
To fill out the Program for Allocation of Regulatory Responsibilities, members must provide information on the specific responsibilities being allocated to each SRO, detailing the nature of the activities and how compliance will be monitored. A proposal must be drafted and submitted to the respective SROs for approval.
What is the purpose of Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2?
The purpose of the Program for Allocation of Regulatory Responsibilities is to enhance regulatory efficiency by allowing SROs to share and allocate oversight responsibilities, thus reducing the compliance burden on broker-dealers and improving regulatory consistency.
What information must be reported on Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2?
The information that must be reported includes details about the broker-dealer's operations, the specific regulatory responsibilities allocated, the SROs involved, the procedures for monitoring compliance, and any changes to the program that may occur over time.
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