Announcements & Upcoming Events
SROs Select Short List Bids for the Consolidated Audit Trail
The national securities exchanges and FINRA (collectively, the self-regulatory organizations, or SROs) have selected six bids from the list of ten RFP responses that were submitted to build and maintain the Consolidated Audit Trail (CAT). More.
SROs Launch Study to Analyze Implementation Cost of the Consolidated Audit Trail
Industry Feedback Sought to Help Determine Data Collection Costs Deadline for Submission is August 6, 2014
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 firstname.lastname@example.org.
Summary of the Consolidated Audit Trail Initiative (PDF 493 KB) - new as of 8/6/14