Per the requirements of the CAT NMS Plan, within six months of effectiveness of the Plan, the Participants provided the SEC with the following assessment of the clock synchronization standard, which includes consideration of industry standards based on the type of CAT Reporter, Industry Member and type of system:
Clock Synchronization Assessment – new as of 6/15/17
Per the requirements of the CAT NMS Plan, within six months of effectiveness of the Plan, the Participants provided the SEC with the following document outlining how the Participants could incorporate into the CAT information with respect to equity securities that are not NMS Securities or OTC Equity Securities, including Primary Market Transactions in securities that are not NMS Securities or OTC Equity Securities and in debt securities:
Expansion Report – new as of 6/15/17
Per the requirement set forth in the CAT NMS Plan, in 2018 the Participants provided the SEC with the following independent audit of fees, costs, and expenses incurred by the Participants on behalf of the Company prior to the Effective Date of the Plan: