Announcements & Upcoming Events
SROs Reduce Short List Bids from Six to Three for Consolidated Audit Trail
The consortium of Self-Regulatory Organizations (collectively, the SROs) responsible for developing and implementing the Consolidated Audit Trail (CAT) have shortened the list of Request For Proposal (RFP) responses to three remaining bidders to build and maintain the 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 firstname.lastname@example.org.
CAT NMS Plan High Level Security Requirements – new as of 2/5/16
Summary of the Consolidated Audit Trail Initiative (PDF 340 KB) - new as of 11/23/2015
Approval Order of Amendment #2 to the Selection Plan – new as of 10/19/15
Supplement to Exemptive Request Letter: Allocation Report Examples – new as of 10/19/15
Supplement to Exemptive Request Letter: Account Effective Date – new as of 10/19/15
Approval Order of Amendment #1 to the Selection Plan – new as of 6/24/15
Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission (PDF 1.5 MB) – new as of 3/2/15
CAT NMS Plan Exemptive Request Letter (PDF 10 MB) – new as of 1/30/15