One-Time Written Assessments

Per the requirements of the CAT NMS Plan, within six months of effectiveness of the Plan, the Participants provided the SEC with the following assessment of the clock synchronization standard, which includes consideration of industry standards based on the type of CAT Reporter, Industry Member and type of system:

Clock Synchronization Assessment  – new as of 6/15/17

Per the requirements of the CAT NMS Plan, within six months of effectiveness of the Plan, the Participants provided the SEC with the  following document outlining how the Participants could incorporate into the CAT information with respect to equity securities that are not NMS Securities or OTC Equity Securities, including Primary Market Transactions in securities that are not NMS Securities or OTC Equity Securities and in debt securities:

Expansion Report  – new as of 6/15/17