Events

With the approval of the Consolidated Audit Trail (CAT) National Market System (NMS) Plan in 2016, and the selection of Thesys CAT LLC as the Plan Processor in early 2017, the implementation timelines for establishing the CAT are in effect. The CAT NMS Plan requires exchanges, national securities associations, alternative trading systems, and broker-dealers to submit information on order and trade events for listed and OTC equities and listed options to the CAT on a daily basis, in addition to customer data.

On Tuesday, December 19, 2017, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss current progress on the CAT. Representatives from the CAT NMS, LLC Operating Committee, as well as the CAT Plan Processor, Thesys CAT, will discuss upcoming milestones, requirements, and the timelines and process for development and delivery of the industry technical specifications for compliance with the CAT. The webcast will be recorded and playback will be available on the CAT NMS website (www.catnmsplan.com).

On Tuesday, January 30th, 2018, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss current progress on the CAT and to answer related questions. The webcast will be recorded and playback will be available on the CAT NMS website. Please forward this meeting invite to any interested parties who would like to attend.

On Wednesday, February 28th, 2018, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss current progress on the CAT and to answer related questions. The webcast will be recorded and playback will be available on the CAT NMS website. Please forward this meeting invite to any interested parties who would like to attend.

On Wednesday, March 28th, 2018, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss current progress on the CAT and to answer related questions. The webcast will be recorded and playback will be available on the CAT NMS website. Please forward this information to any interested parties who would like to attend.

On Thursday, June 28th, 2018, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss current progress on the CAT and to answer related questions. The webcast will be recorded and playback will be available on the CAT NMS website. Please forward this information to any interested parties who would like to attend.

On Thursday, August 9th, 2018, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss current progress on the CAT. During this webcast, the SROs will provide updated information on the publication of the IM Technical Reporting Specifications and proposed implementation timelines.

The webcast will be recorded and playback will be available on the CAT NMS website. Please forward this meeting invite to any interested parties who would like to attend.

On Wednesday, October 17th, 2018, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss current progress on the CAT and to answer related questions. The webcast will be recorded and playback will be available on the CAT NMS website. Please forward this meeting invite to any interested parties who would like to attend.

On Wednesday, November 7th, 2018, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to provide an overview of the final Technical Specifications and discuss key implementation dates. The webcast will be recorded and playback will be available on the CAT NMS website. Please forward this meeting invite to any interested parties who would like to attend.

On Thursday, November 8th, 2018, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to provide a deep dive on Options as related to the Technical Specifications. The webcast will be recorded and playback will be available on the CAT NMS website. Please forward this meeting invite to any interested parties who would like to attend.