Consolidated Audit Trail In-Person Event

Consolidated Audit Trail In-Person Event

April 9, 2014
Chicago, IL

Updated: SRO Hosted Consolidated Audit Trail Industry Event Presentation


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

During this event, the SROs will provide an overview of the latest progress on the RFP process and the overall development of the CAT NMS Plan. This event will include a Q&A session so that interested parties may ask questions regarding Rule 613 concepts and processes, as well as other CAT implementation issues.

The event will be held on Wednesday, April 9, 2014 from 3:30 p.m. to 5 p.m. (Central Time) at the Deloitte Offices, 111 S. Wacker, Chicago, IL 60606. A dial-in number and WebEx will be provided upon registration to accommodate interested parties that cannot attend in person.

At the conclusion of the event, presentation materials will be posted on the CAT NMS Plan website. Participants are encouraged to send questions in advance of the event so that we can provide as much information as possible during the event.