Announcements & Upcoming Events
Amendment to the Selection Plan
On December 12, 2014, the SROs filed an Amendment to the Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail (“Selection Plan”). This Amendment was approved by the SEC on June 23, 2015. The approval notice is available via the Federal Register and can be found here.
Second Amendment to the Selection Plan
On March 6, 2015, the SROs filed a further Amendment to the Selection Plan. This second Amendment to the Selection Plan is available for review via the Federal Register and can be found here.
All public comments received on the second Amendment to the Selection Plan will be posted to the SEC website. Please note that all comments or questions regarding the second Amendment to Selection Plan should be provided directly to the SEC, and not to the SROs, using the formal comment process. Comments or questions should be submitted on or before July 23, 2015.
Creation of NMS Plan
On July 11, 2012, the U.S. Securities and Exchange Commission (SEC) voted to adopt Rule 613 under Regulation NMS requiring the national securities exchanges and national securities associations listed below (collectively, the SROs) to submit an NMS plan (Plan) to the SEC to create, implement, and maintain a consolidated audit trail (CAT).
The SROs have developed the Plan and submitted it to the SEC pursuant to Rule 613 and have created this web site as a resource for interested market participants and members of the public. This web site contains links to the homepages of each participant in the Plan as well as the SEC and information the SROs want to share with the public, including information on upcoming events. The SROs encourage market participants and others to share their thoughts regarding the CAT by submitting an email to email@example.com.
Approval Order of Amendment #1 to the Selection Plan – new as of 6/24/15
Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission (PDF 1.5 MB) – new as of 3/2/15
CAT NMS Plan Exemptive Request Letter (PDF 10 MB) – new as of 1/30/15
Summary of the Consolidated Audit Trail Initiative (PDF 340 KB) - new as of 5/26/2015