Announcements & Upcoming Events

March 21, 2016 Consolidated Audit Trail Industry Outreach Call and WebEx
The national securities exchanges and FINRA (collectively the “SROs”) together hosted a WebEx event to discuss the current status around the creation of the Consolidated Audit Trail (CAT). More.

Creation of NMS Plan

On July 11, 2012, the U.S. Securities and Exchange Commission (SEC) voted to adopt Rule 613 under Regulation NMS requiring the national securities exchanges and national securities associations listed below (collectively, the SROs) to submit an NMS plan (Plan) to the SEC to create, implement, and maintain a consolidated audit trail (CAT). 

The SROs have developed the Plan and submitted it to the SEC pursuant to Rule 613 and have created this web site as a resource for interested market participants and members of the public. This web site contains links to the homepages of each participant in the Plan as well as the SEC and information the SROs want to share with the public, including information on upcoming events. The SROs encourage market participants and others to share their thoughts regarding the CAT by submitting an email to feedback@catnmsplan.com.

SEC Notice of Filing of the Consolidated Audit Trail National Market System Plan and Request for Comment – new as of 5/18/16

CAT NMS Plan Security Requirements – Architecture, Program and Data Usage Controls – new as of 3/24/16

12/23/15 Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission – new as of 1/7/16

  • Summary of the Consolidated Audit Trail Initiative - new as of 5/18/16