Announcements & Upcoming Events
The CAT selection process NMS Plan is now available for review via the Federal Register. Public comments are due by December 23, 2013 at 11:59PM ET. The text of the selection process NMS Plan and the avenue for public comment can be found here.
Please note that all comments or questions regarding the selection process NMS Plan should be provided directly to the SEC, and not to the SROs, using the formal comment process.
February 22, 2013
March 25, 2013
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 email@example.com.