Date Details
October 30, 2020

Q3 2020 Quarterly Progress Report

On October 30, 2020, the Plan Participants filed with the Commission a Quarterly Progress Report for the calendar quarter ending September 30, 2020 (the “Q3 2020 QPR”) pursuant to Section 6.6(c)(ii) of the CAT NMS Plan.  The Q3 2020 QPR includes a detailed description of the progress made by the Participants during the last calendar quarter toward achieving each of the milestones set forth in the Implementation Plan.
July 22, 2020

CAT Implementation Plan

On July 22, 2020, the Plan Participants filed an Implementation Plan with the Commission pursuant to Section 6.6(c)(i) of the CAT NMS Plan. The Implementation Plan sets forth a timeline for achieving the objective milestones setting forth how and when the Plan Participants will facilitate the achievement of Full Implementation of CAT NMS Plan Requirements, as defined in Section 1.1 of the CAT NMS Plan, including with respect to phased implementation.

 

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Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].