How will the SEC and Participants access the CAT Data for regulatory purposes?
The CAT NMS Plan requires the Plan Processor to provide the SEC and Participants access to the CAT for regulatory and oversight purposes and to create a method of accessing CAT Data that includes the ability to run complex searches and generate reports. The CAT NMS Plan requires regulator access by two different methods: (a) an online targeted query tool with predefined selection criteria to choose from; and (b) extractions of data via a query tool or language allowing querying of all available attributes and data sources. Appendix D of the CAT NMS Plan sets forth additional requirements concerning regulator access.
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