On January 13, 2026, the SEC approved an amendment (“the Amendment”) to the CAT NMS Plan relating to the Customer and Account Information System (“CAIS”). This CAT Alert addresses the Industry Member impacting items in the Amendment.
On March 27, 2026, the SEC approved another amendment to the CAT NMS Plan that included additional changes to the Reference Database. This CAT Alert addresses the Industry Member Impacting items in the January 13, 2026 and March 27, 2026 amendments (collectively, Amendments).