SRO Hosted Consolidated Audit Trail Industry Event

SRO Hosted Consolidated Audit Trail Industry Event

October 15 and 16, 2012 New York, NY

UPDATED: SRO Hosted Consolidated Audit Trail Industry Event Presentation

The national securities exchanges and FINRA (collectively the “SROs”) together are hosting an industry event to discuss SEC Rule 613 requiring the creation of a Consolidated Audit Trail (CAT). This event is being held in New York City and is open to all industry and other interested participants. Please note that the event is closed to the media.

During this event, the SROs will provide an overview of Rule 613 and the steps the SROs are taking to develop an NMS Plan as required in Rule 613. This event will also include an open Q & A and feedback session so that industry participants may ask questions of the SROs and share feedback on key implementation issues. To ensure there is adequate space available, two identical sessions are being held and we ask that you please select only one session so that we may accommodate all interested parties. The first session will be on October 15, 2012 from 2:00 p.m. to 4:00 p.m. A second session will be held on October 16, 2012 from 10:00 a.m. to 12:00 p.m. Both sessions are being held at Bayard’s, 1 Hanover Square, New York, NY 10004.

To accommodate interested parties that cannot attend in person, a listen only dial-in number is also being provided. Please note that we will not be able to entertain questions from dial-in participants during the event. At the conclusion of the event, presentation materials will be posted on the catnmsplan.com website.

Participants are encouraged to send questions to the SROs in advance of the event so that we can provide as much information as possible during the event. Please submit questions that you would like addressed to feedback@catnmsplan.com.