Exemptive Request Letters

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.

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.

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.

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