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This document outlines the approval of a proposed regulatory responsibility allocation plan among the SEC, FINRA, and various stock exchanges to reduce regulatory duplications.
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How to fill out program for allocation of
How to fill out Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2
01
Begin by collecting relevant information about your firm's regulatory responsibilities.
02
Identify each service that will be provided and the corresponding regulatory authority responsible for oversight.
03
Clearly outline the responsibilities that each party will have in relation to the regulatory requirements.
04
Ensure that all allocations of responsibilities are compliant with Rule 17d-2 standards.
05
Document the processes for resolving potential conflicts of interest between parties.
06
Include detailed descriptions of how regulatory oversight will be maintained.
07
Review the program with legal or compliance teams to ensure accuracy and completeness.
08
Obtain necessary signatures and approvals from all parties involved.
09
Submit the finalized program to the appropriate regulatory body.
Who needs Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2?
01
Registered investment advisers and broker-dealers that require regulatory responsibility allocation.
02
Firms engaged in joint activities or shared regulatory oversight.
03
Entities looking to clarify their compliance obligations under Rule 17d-2.
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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 established by the SEC to facilitate the allocation of regulatory responsibilities between self-regulatory organizations (SROs). It aims to minimize duplicative regulation and ensure effective oversight of broker-dealers.
Who is required to file Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2?
Registered broker-dealers and self-regulatory organizations that have overlapping jurisdiction and wish to allocate regulatory responsibilities 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 Pursuant to Rule 17d-2, entities must provide details on the allocation of responsibilities, including which organization will oversee specific regulatory areas, the types of securities involved, and any relevant agreements between the parties.
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 Pursuant to Rule 17d-2 is to streamline regulatory oversight between SROs, reduce regulatory burdens on firms, and prevent conflicts of authority, thereby enhancing the efficiency of the regulatory process.
What information must be reported on Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2?
The information that must be reported includes the allocation of specific regulatory responsibilities, details on the SROs involved, the types of activities and securities covered, and the effectiveness of the proposed allocation in terms of regulatory oversight.
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