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

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 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.