RFP Process

As part of the RFP development process, the SROs published a Proposed RFP Concept Document on December 5, 2012 for public comment in order to obtain feedback on the feasibility and costs of implementing the CAT reporting requirements being considered by the SROs. Comments received informed the content of the final RFP.

On January 16, 2013, the SROs published an Information for Bidders Document that expanded on the information in the December 5, 2012 Proposed RFP Concept Document. The purpose of the Information for Bidders Document was to provide information on the anticipated content and structure of the RFP so that interested Bidders had the opportunity to review the scope of information they would have to provide in an RFP response.

The SROs subsequently published an RFP on this website on February 26, 2013. The SROs invited interested Bidders to respond with an indication of intent to bid by March 5, 2013.

RFP Milestones

    Mar.21,2014 RFP Responses Due (revised)
    May 02,2013 Bidders Conference Call
    Apr.25, 2013 Bidders Conference Call
    Mar.08,2013 Bidders Conference Call
    Mar.05,2013 Intent to Bid Submission
    Feb.26,2013 RFP Publication

Related Documentation

Proposed RFP Concepts Document – updated as of 1/16/13

Information for CAT Bidders Document – new as of 1/16/13

CAT Request For Proposal Documents: version 3.0 – new as of 3/3/14

RFP Questions and Responses – updated as of 3/11/14

Received Intent to Bid Forms – updated as of 1/30/14

CAT Bidders Conference Presentation – new as of 3/11/13

CAT Bidders Conference Questions and Responses – updated as of 9/11/13

CAT Bidders Conference Call Presentation – new as of 4/26/13

Bidder Evaluation Framework – new as of 2/26/14

CAT Bid Response List – updated as of 4/2/14

Qualified CAT Bid List – new as of 4/24/14



Selection Plan

On September 3, 2013, the SROs filed the Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail (“Selection Plan”) to govern how the SROs would proceed with formulating and submitting the CAT NMS Plan—and, as part of that process, how the SROs would review, evaluate, and narrow down the Bids submitted in response to the RFP—and ultimately selecting the Plan Processor. The Selection Plan was approved on February 21, 2014. The Selection Plan and all subsequent amendments can be found below:

Please reference Release No. 34-70892; File No. 4-668 for appropriate comments and responses.

On December 12, 2014, the SROs filed an Amendment to the Selection Plan.

Please reference Release No. 34-74223; File 4-668 for appropriate comments and responses

On March 6, 2015, the SROs filed a second Amendment to the Selection Plan.

  • No Comments were Received

On March 29, 2016, the SROs filed an Amendment to the Selection Plan.

On July 13, 2016, the SROs filed an Amendment to the Selection Plan.