Announcements & Upcoming Events
Self-Regulatory Organizations File CAT NMS Plan with the SEC
The US national securities exchanges and the Financial Industry Regulatory Authority (FINRA), collectively, the self-regulatory organizations, or SROs, today filed with the Securities and Exchange Commission (SEC) a national market system (NMS) plan to govern the creation, maintenance and implementation of the Consolidated Audit Trail (CAT) and Central Repository. 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 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.
Summary of the Consolidated Audit Trail Initiative (PDF 493 KB) - new as of 8/6/14
Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission (PDF 18 MB) – new as of 10/1/14