Announcements & Upcoming Events

SROs Invite New Members to the CAT Development Advisory Group

 

The national securities exchanges and FINRA (collectively the SROs) are pleased to announce a request for new members to the Development Advisory Group to advise the SROs in creating and implementing a consolidated audit trail (CAT). The role of the CAT Development Advisory Group is to advise the SROs on various aspects of the CAT including impact upon CAT participant firms and the broader industry.

 

More.

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 are in the process of jointly developing the Plan 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 feedback@catnmsplan.com.