Consolidated Audit Trail Industry Call and WebEx
November 29, 2012
UPDATED: SRO NMS Plan Industry Call
UPDATED: Nov. 29 NMS Plan Industry Call Audio
The national securities exchanges and FINRA (collectively the “SROs”) together invite interested industry participants to join a conference call and WebEx presentation on Thursday, November 29, 2012 at 4:15 p.m. ET regarding SEC Rule 613, which requires the SROs to submit an NMS Plan to the SEC to create, implement, and maintain a consolidated audit trail (“CAT”).
During this call, the SROs will provide an update on CAT NMS Plan development efforts including the process and timeline for issuing the request for proposal to solicit bids to build and operate the CAT. The SROs will also present baseline reporting requirements currently under consideration with respect to key CAT components including CAT Reporter ID, CAT Order ID and Customer ID. Finally, the SROs will announce future industry events at which interested industry participants are invited to share feedback on implementation issues.
Please note that this event was closed to members of the media.