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Date Details
September 13, 2021

Notice of Filing of Exemptive Request Letter Related to Unique CCID for Foreign Customers

On September 13, 2021, the Plan Participants submitted to the SEC a request for temporary exemptive relief from the
requirement set forth in Sections 9.1 and 9.3 of the CAT NMS Plan to create a unique  CAT Customer-ID (“CCID”) for Customers who do not have a social security number (“SSN”), individual taxpayer identification number (“ITIN”) or employer identification number (“EIN”) (collectively, “Foreign Customers”) until July 31, 2023 in order to conduct a study and implement any related technical changes to the CAT System.

September 13, 2021

Notice of Filing of Exemptive Request Letter Related to Reporting Addresses

On September 13, 2021,  the Plan Participants submitted to the SEC a request for exemptive relief from the requirement in Section 6.4(d)(ii)(C) of the Plan and the Phased Reporting Exemption for Industry Members to report Customer addresses at the Customer level to the CAT beginning in Phase 2e. As a condition to this relief, the Participants would require Industry Members to report account mailing address to the CAT and to optionally report Customer address, if it is available and different than the account mailing address.

June 10, 2021

Notice of Filing of Exemptive Request Letter Related to Unique Order ID on Internal Route Events

On June 10, 2021, the Plan Participants submitted to the SEC a request for temporary exemptive relief to move certain Industry Member reporting obligations related to the reporting of unique Order IDs on internal route events from Phase 2d to August 1, 2023.

March 17, 2021

Notice of Filing of Exemptive Request Letter Related to Phase 2d Reporting

On March 17, 2021, the Plan Participants submitted to the SEC a request for exemptive relief to move certain Industry Member reporting obligations from Phase 2c to Phase 2d; these items include: (1) rejected external route flags related to the equity leg of a multi leg order; (2) certain OTC Equity Securities quotes; (3) certain OTC Equity Securities messages; and (4) quote identifiers.

March 17, 2021

Notice of Filing of Exemptive Request Letter Related to Error Corrections

On March 17, 2021, the Plan Participants submitted to the SEC a request for exemptive relief from the requirement in Section 6.1 of Appendix D that CAT Reporters resubmit corrected data by T+3 at 8 am ET.  This request amended and replaced in its entirety a similar request previously submitted to the SEC on December 4, 2020.

March 17, 2021

Notice of Filing of Exemptive Request Letter Related to Error Reports

On March 17, 2021, the Plan Participants submitted to the SEC a request for exemptive relief from the requirement in Section 6.1 of Appendix D that the Plan Processor communicate errors to CAT Reporters by T+1 at noon ET.  This request amended and replaced in its entirety a similar request previously submitted to the SEC on December 4, 2020.

March 17, 2021

Notice of Filing of Exemptive Request Letter Related to Phase 2c Cutover

On March 17, 2021, the Plan Participants submitted to the SEC a request for targeted exemptive relief from the requirement in Section 6.1 of Appendix D that the Plan Processor communicate errors to CAT Reporters by T+1 at noon ET.  If granted, from April 26, 2021 through April 29, 2021, the Plan Processor will be able to communicate errors to CAT Reporters by T+1 at 4 pm ET to allow the Plan Processor time to convert data provided to Industry Members from the equities Phase 2a reporting format to the equities Phase 2c reporting format. 

December 16, 2020 On December 16, 2020, the SEC issued an order granting temporary exemptive relief from certain requirements in the CAT NMS Plan related to the online targeted query tool (“OTQT”) described in Section 6.10(c)(i) of the CAT NMS Plan. In particular, the order addresses certain aspects of OTQT functionality and performance described in Sections 8.1.1 and 8.1.2 of Appendix D of the CAT NMS Plan.
December 16, 2020 On December 16, 2020, the SEC issued an order of temporary conditional exemptive relief from certain requirements in the CAT NMS Plan related to: (1) timeframes for lifecycle linkages; (2) re-processing of corrections received after T+5; (3) linkage of Participant Data and Industry Member Data with SIP Data; (4) reporting of port-level settings applicable to orders; (5) lifecycle linkage between customer orders and representative orders; and (6) Participant reporting of rejected orders. The duration of the exemptive relief period applicable to each issue varies, as described further in the order.
December 4, 2020

Notice of Filing of Exemptive Request Letter Related to Error Corrections

On December 4, 2020, the Plan Participants submitted to the SEC a request for exemptive relief from certain provisions of the CAT NMS Plan related to the resubmission of corrected data to the CAT by T+3 at 8 am ET.

December 4, 2020

Notice of Filing of Exemptive Request Letter Related to Initial Data Validation

On December 4, 2020, the Plan Participants submitted to the SEC a request for exemptive relief from certain provisions of the CAT NMS Plan related to initial data validation, lifecycle linkages and communication of errors by T+1 at noon ET.

December 1, 2020

Notice of Filing of Exemptive Request Letter Related to the Online Targeted Query Tool

On December 1, 2020, the Plan Participants submitted to the SEC a request for exemptive relief from certain provisions of the CAT NMS Plan related to the online targeted query tool.

November 12, 2020 On November 12, 2020, the SEC issued an order granting temporary exemptive relief from certain requirements in Section 6.4(d) of the CAT NMS Plan relating to certain activities on the floors of national securities exchanges and certain activities by Industry Members off exchange floors.  The relief expires on July 31, 2023.
October 19, 2020 On October 19, 2020, the SEC issued conditional exemptive relief regarding certain allocation reporting requirements set forth in Sections 6.4(d)(ii)(A)(1) and (2) of the CAT NMS Plan.
August 27, 2020

Notice of Filing of Exemptive Request Letter Related to Allocations

On August 27, 2020, the Plan Participants submitted to the SEC a request for exemptive relief from certain provisions of the CAT NMS Plan related to Allocations Reports.  The request amends and replaces in its entirety the exemptive request letter submitted to the SEC on April 27, 2020 regarding Allocation Reports.

July 1, 2020

Notice of Filing of Exemptive Request Letter Related to Reporting Certain Verbal Activity

On July 1, 2020, the Plan Participants submitted to the SEC a request for exemptive relief from certain provisions of the CAT NMS Plan related to reporting verbal activity on and off exchange trading floors.

June 11, 2020 On June 11, 2020, the SEC issued an exemptive order regarding Industry Members recording and reporting the SRO-Assigned Market Participant Identifier of the clearing broker or prime broker, if applicable, for orders that are executed in whole or in part, and a cancelled trade indicator for trades that are cancelled. 
June 5, 2020

Notice of Filing of Exemptive Request Letter Related to Data Facility Reporting and Linkage

On June 5, 2020, the Plan Participants filed a request for exemptive relief from certain provisions of the CAT NMS Plan related to data facility reporting and linkage.  The request amends and replaces in its entirety the exemptive request letter submitted to the SEC on February 12, 2020 related to data facility reporting and linkage.

April 27, 2020

Notice of Filing of Exemptive Request Letter related to Allocation Reports

On April 27, 2020, the Plan Participants submitted to the SEC a request for exemptive relief from certain provisions of the CAT NMS Plan related to Allocations Reports.

April 20, 2020

SEC Approval Order of Exemptive Request Letter related to Introducing Broker Small Industry Members

On April 20, 2020, the SEC issued an exemptive order permitting introducing brokers that meet certain requirements to follow the Small Industry Member reporting timeline.

April 20, 2020

SEC Approval Order of Exemptive Request Letter related to Phased CAT Reporting Timeline for Industry Members

On April 20, 2020, the SEC issued an exemptive order establishing a phased CAT reporting timeline for Industry Members.
April 8, 2020

SEC Approval Order of Exemptive Request Letter related to CAT Timestamp Granularity

On April 8, 2020, the SEC issued exemptive relief regarding the timestamp granularity requirements of Section 6.8(b) and Section 3 of Appendix D of the CAT NMS Plan.  In accordance with the relief, Participants and Industry Members will truncate timestamps in increments more granular than nanoseconds to nanoseconds for submission to the CAT, and the Central Repository will accept timestamps on order events handled electronically to nanosecond granularity.  The relief will last for a period of five years.
March 17, 2020

Approval Order of Exemptive Request Letter related to Customer and Account Information

On March 17, 2020, the SEC issued relief that exempts the Participants from collecting or retaining certain retail customer data, including (1) individual social security numbers or individual tax payer identification numbers; (2) dates of birth and (3) account numbers.  Instead, Industry Members would be required to report an account holder’s name, address, and birth year to the CAT.
February 19, 2020

Notice of Filing of Exemptive Request Letter related to the Implementation of a Phased Industry Member Reporting Timeline

On February 19, 2020, the Plan Participants filed a request for exemptive relief from certain provisions of the CAT NMS Plan related to the implementation of a phased Industry Member reporting timeline.
February 12, 2020

Notice of Filing of Exemptive Request Letter related to Data Facility Reporting and Linkage

On February 12, 2020, the Plan Participants filed a request for exemptive relief from certain provisions of the CAT NMS Plan related to data facility reporting and linkage.
February 3, 2020

Notice of Filing of Exemptive Request Letter related to the Definition of Small Industry Member

On February 3, 2020, the Plan Participants filed a request for exemptive relief from certain provisions of the CAT NMS Plan related to the definition of “Small Industry Member” under the CAT NMS Plan.

February 3, 2020

Notice of Filing of Exemptive Request Letter related to Timestamp Granularity and Relationship IDs

On February 3, 2020, the Plan Participants filed a request for exemptive relief from certain provisions of the CAT NMS Plan related to timestamp granularity and relationship identifiers.
January 29, 2020

Notice of Filing of Exemptive Request Letter related to Customer and Account Information

On January 29, 2020, the Plan Participants filed a request for exemptive relief from certain provisions of the CAT NMS Plan related to the collection of social security numbers, dates of birth and account numbers.

October 16, 2019
 
On October 16, 2019, the Plan Participants filed a Request for Exemptive Relief from Certain Provisions of the CAT NMS Plan and SEC Rule 613. This letter requested exemptions related to Customer and Account Information.
November 13, 2017

Notice of Filing of Exemptive Request Letter related to Timeline

On November 13, 2017, the Plan Participants filed a Request for Exemptive Relief from Certain Provisions of the CAT NMS Plan. This letter requested exemptions related to the Timeline.

September 2, 2015

Supplement #2 to Exemptive Request Letter: Account Effective Date

Approval Order of Exemptive Request Letter

On September 2, 2015, the SROs filed a second Supplement to the Exemptive Request Letter. This supplement clarified the use of Account Effective Date proposed under the Customer ID exemptive request.

April 3, 2015

Supplement #1 to Exemptive Request Letter: Allocation Report Examples

On April 3, 2015, the SROs filed the supplement to the Exemptive Request Letter (“Supplement”). The Supplement provides clarification related to the allocation reports proposed under the Linking Allocations to Executions exemptive request.

January 30, 2015

Notice of Filing of Exemptive Request Letter

On January 30, 2015, the SROs filed a Request for Exemptive Relief from Certain Provisions of SEC Rule 613 of Regulation NMS under the Securities Exchange Act of 1934 (“Exemptive Request Letter”). This letter requested exemptions related to the following:

  1. Options market maker quotes
  2. Customer IDs
  3. CAT Reporter IDs
  4. Linking allocation to executions
  5. Timestamp granularity