Consolidated Audit Trail Industry Event 2/27/14

Consolidated Audit Trail Industry Event

February 27, 2014
New York, NY

Updated: 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 New York City 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 February 27, 2014 from 4:15 p.m. to 5:45 p.m. at the Digital Sandbox, 55 Broad Street, New York, NY 10004. To accommodate interested parties that cannot attend in person, a dial-in number and WebEx will also be provided to all registered individuals.

At the conclusion of the event, presentation materials will be posted on the CAT NMS 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 any questions that you would like addressed during the event to feedback@catnmsplan.com.