Consolidated Audit Trail Industry Event
December 10, 2012 New York, NY
UPDATED: Dec. 10 Industry Event FINAL
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 other interested participants. Please note that the event is closed to the media.
During this event, the SROs will provide an overview of the RFP concept document that will be published on the catnmsplan.com website during the week of December 3, 2012. This event will include an open
Q & A session so that interested parties may ask questions regarding the RFP concepts and process, as well as other CAT implementation issues.
The event will be held on December 10, 2012 from 2:00 p.m. to 4:00 p.m. at the Marriott Downtown, 85 West Street, New York, NY 10006.
To accommodate interested parties that cannot attend in person, a listen-only dial-in number is also being provided.
To register for this event, please go to //www.cvent.com/d/8cqd68/4W
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 firstname.lastname@example.org.