CAT NMS Plan

On January 10, 2018, the Operating Committee of CAT NMS, LLC submitted a filing to the SEC to withdraw a proposed amendment to the CAT NMS Plan to add a fee schedule that would set forth the CAT Fees to be paid by the Participants. The Participants are fully committed to establishing equitable Industry Member and Participant fees and determined to withdraw the proposed amendment so that they can continue to assess the proposed funding model.

On July 21, 2017, the SEC issued an order summarily abrogating the SROs’ amendment to the CAT NMS Plan regarding proposed Participant CAT Fees. This version of the CAT NMS Plan removes the exhibit discussing the proposed Participant CAT Fees.

On May 22, 2017, the SROs filed an Amendment to the SEC Approved CAT NMS Plan to include Participant CAT Fees.

On January 11, 2017, the SROs filed an Amendment to the SEC Approved CAT NMS Plan to include MIAX Pearl.

On November 15, 2016, the Commission unanimously approved the CAT NMS Plan.

On May 17, 2016, the Commission published the Amended and Restated CAT NMS Plan and requested public comments.

On February 9, 2016, the SROs filed an identical, but unmarked version of the 12/23/15 Amended and Restated CAT NMS Plan.

On December 23, 2015, the SROs filed an Amendment to the Amended and Restated CAT NMS Plan (12/23/15 Amended and Restated CAT NMS Plan).

On February 27, 2015, the SROs filed an Amended and Restated Consolidated Audit Trail National Market System Plan to replace the Initial CAT NMS Plan (“Amended and Restated CAT NMS Plan).

On September 30, 2014, the SROs filed the Consolidated Audit Trail National Market System Plan (“Initial CAT NMS Plan”).