Announcements & Upcoming Events
Consolidated Audit Trail In-Person Event
April 9, 2014
The national securities exchanges and FINRA (collectively the "SROs") together are hosting an in-person event to discuss SEC Rule 613 requiring the creation of a Consolidated Audit Trail (CAT).
Approval of Consolidated Audit Trail Selection Process NMS Plan
On February 21, 2014, the Securities and Exchange Commission (SEC) approved the Consolidated Audit Trail (CAT) Selection Process NMS Plan (the Plan) submitted by the SROs.
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.