Latest Updates | CATNMSPLAN

01/11/2017
Governance
SEC Approved CAT NMS Plan Amended to Include MIAX Pearl (1/11/2017)
11/15/2016
Governance
SEC Approved CAT NMS Plan (11/15/2016)
05/17/2016
Governance
SEC Notice of Filing of the Consolidated Audit Trail National Market System Plan and Request for Comment
03/24/2016
Governance
CAT NMS Plan Security Requirements - Architecture, Program and Data Usage Controls (3/24/2016)
02/09/2016
Governance
Clean Version of the 12/23/15 Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission
12/23/2015
Governance
12/23/15 Amended and Restated CAT NMS Plan Submission
09/02/2015
Governance
Supplement #2 to Exemptive Request Letter: Account Effective Date
09/02/2015
Governance
Approval Order of Exemptive Request Letter
09/02/2015
FAQ| Q. Customer and Account Information
Q2. Are CAT Reporters required to report Customer-IDs to the CAT?
06/12/2015
Technical Specifications
EBS-CAT Gap Analysis
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter
01/30/2015
FAQ| Q. Customer and Account Information
Q5. What is the definition of customer under the CAT NMS Plan? Who is the customer for purposes of the CAT: the end customer, the introducing broker or the clearing broker?
09/30/2014
Governance
Amended and Restated CAT NMS Plan Submission (2/17/2015)
09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)

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