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Date Details
April 27, 2020

Notice of Filing of Exemptive Request Letter related to Allocation Reports

On April 27, 2020, the Plan Participants submitted to the SEC a request for exemptive relief from certain provisions of the CAT NMS Plan related to Allocations Reports.

April 20, 2020

SEC Approval Order of Exemptive Request Letter related to Introducing Broker Small Industry Members

On April 20, 2020, the SEC issued an exemptive order permitting introducing brokers that meet certain requirements to follow the Small Industry Member reporting timeline.

April 20, 2020

SEC Approval Order of Exemptive Request Letter related to Phased CAT Reporting Timeline for Industry Members

On April 20, 2020, the SEC issued an exemptive order establishing a phased CAT reporting timeline for Industry Members.
April 8, 2020

SEC Approval Order of Exemptive Request Letter related to CAT Timestamp Granularity

On April 8, 2020, the SEC issued exemptive relief regarding the timestamp granularity requirements of Section 6.8(b) and Section 3 of Appendix D of the CAT NMS Plan.  In accordance with the relief, Participants and Industry Members will truncate timestamps in increments more granular than nanoseconds to nanoseconds for submission to the CAT, and the Central Repository will accept timestamps on order events handled electronically to nanosecond granularity.  The relief will last for a period of five years.
March 17, 2020

Approval Order of Exemptive Request Letter related to Customer and Account Information

On March 17, 2020, the SEC issued relief that exempts the Participants from collecting or retaining certain retail customer data, including (1) individual social security numbers or individual tax payer identification numbers; (2) dates of birth and (3) account numbers.  Instead, Industry Members would be required to report an account holder’s name, address, and birth year to the CAT.
February 19, 2020

Notice of Filing of Exemptive Request Letter related to the Implementation of a Phased Industry Member Reporting Timeline

On February 19, 2020, the Plan Participants filed a request for exemptive relief from certain provisions of the CAT NMS Plan related to the implementation of a phased Industry Member reporting timeline.
February 12, 2020

Notice of Filing of Exemptive Request Letter related to Data Facility Reporting and Linkage

On February 12, 2020, the Plan Participants filed a request for exemptive relief from certain provisions of the CAT NMS Plan related to data facility reporting and linkage.
February 3, 2020

Notice of Filing of Exemptive Request Letter related to the Definition of Small Industry Member

On February 3, 2020, the Plan Participants filed a request for exemptive relief from certain provisions of the CAT NMS Plan related to the definition of “Small Industry Member” under the CAT NMS Plan.

February 3, 2020

Notice of Filing of Exemptive Request Letter related to Timestamp Granularity and Relationship IDs

On February 3, 2020, the Plan Participants filed a request for exemptive relief from certain provisions of the CAT NMS Plan related to timestamp granularity and relationship identifiers.
January 29, 2020

Notice of Filing of Exemptive Request Letter related to Customer and Account Information

On January 29, 2020, the Plan Participants filed a request for exemptive relief from certain provisions of the CAT NMS Plan related to the collection of social security numbers, dates of birth and account numbers.

October 16, 2019
 
On October 16, 2019, the Plan Participants filed a Request for Exemptive Relief from Certain Provisions of the CAT NMS Plan and SEC Rule 613. This letter requested exemptions related to Customer and Account Information.
November 13, 2017

Notice of Filing of Exemptive Request Letter related to Timeline

On November 13, 2017, the Plan Participants filed a Request for Exemptive Relief from Certain Provisions of the CAT NMS Plan. This letter requested exemptions related to the Timeline.

September 2, 2015

Supplement #2 to Exemptive Request Letter: Account Effective Date

Approval Order of Exemptive Request Letter

On September 2, 2015, the SROs filed a second Supplement to the Exemptive Request Letter. This supplement clarified the use of Account Effective Date proposed under the Customer ID exemptive request.

April 3, 2015

Supplement #1 to Exemptive Request Letter: Allocation Report Examples

On April 3, 2015, the SROs filed the supplement to the Exemptive Request Letter (“Supplement”). The Supplement provides clarification related to the allocation reports proposed under the Linking Allocations to Executions exemptive request.

January 30, 2015

Notice of Filing of Exemptive Request Letter

On January 30, 2015, the SROs filed a Request for Exemptive Relief from Certain Provisions of SEC Rule 613 of Regulation NMS under the Securities Exchange Act of 1934 (“Exemptive Request Letter”). This letter requested exemptions related to the following:

  1. Options market maker quotes
  2. Customer IDs
  3. CAT Reporter IDs
  4. Linking allocation to executions
  5. Timestamp granularity