Announcements & Upcoming Events
Amended CAT NMS Plan
On February 27, 2015, the SROs filed an amended Consolidated Audit Trail National Market System Plan (CAT NMS Plan) with the Securities and Exchange Commission. The Plan is only effective if and when the SEC approves it. This Plan replaces the one filed on September 30, 2014.
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”). The Amendment to the Selection Plan is available for review via the Federal Register and can be found here.
All public comments received on the Amendment to the Selection Plan will be posted to the SEC website. Please note that all comments or questions regarding the 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 March 13, 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 firstname.lastname@example.org.
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 600 KB) - new as of 1/27/15