Monday, December 03, 2012
Equity Regulatory Alert #2012 - 11
Consolidated Audit Trail In-Person Event
- The NASDAQ Stock Market
- NASDAQ OMX BX
- NASDAQ OMX PSX
- The NASDAQ Options Market
- NASDAQ OMX PHLX
- NASDAQ OMX BX Options
- NASDAQ OMX Futures Exchange
- Contact Manny Alicandro at +1 212 401 8982
What you need to know:
- On Monday, December 10, 2012 at 2:00 p.m. ET, the national securities exchanges and FINRA (collectively the "SROs") together invite interested industry participants to join an in-person event regarding SEC Rule 613, which requires the SROs to submit an NMS Plan to the SEC to create, implement, and maintain a consolidated audit trail ("CAT").
- UPDATE: The venue for this event has changed and will now be held at the Marriott Downtown, 85 West Street, New York, NY 10006.
What is the purpose of the meeting?
During this event, the SROs will provide an overview of the RFP concept document which will be published on the CAT NMS Plan 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.
When is the event?
The event will be held on December 10, 2012 from 2:00 p.m., Eastern Time (ET) to 4:00 p.m., ET, at 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.
Do I need to register for the event?
Yes. To register for this event, please go to this link.
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 CAT NMS Plan website.
Do I need to submit questions to the SROs in advance of the event?
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 email@example.com.
Where can I find additional information?
Subscribe to Email Alerts:
NASDAQ OMX is offering customers the ability to self select news delivery across various NASDAQ OMX markets. Create and maintain a profile for updating alert preferences and contact information. Visit the enrollment form on the NASDAQ Trader website and sign up today! Please note that if you choose to unsubscribe from an email list, you may no longer receive potentially critical emails from the NASDAQ Stock Market regarding NASDAQ's trading and data products, regulatory issues or marketplace initiatives.
About the NASDAQ OMX Group: The NASDAQ OMX Group, Inc. is the world's largest exchange company. It delivers trading, exchange technology and public company services across six continents, with more than 3,600 listed companies. NASDAQ OMX offers multiple capital raising solutions to companies around the globe, including its U.S. listings market, NASDAQ OMX Nordic, NASDAQ OMX Baltic, NASDAQ OMX First North, and the U.S. 144A sector. The company offers trading across multiple asset classes including equities, derivatives, debt, commodities, structured products and exchange-traded funds. NASDAQ OMX technology supports the operations of over 70 exchanges, clearing organizations and central securities depositories in more than 50 countries. NASDAQ OMX Nordic and NASDAQ OMX Baltic are not legal entities but describe the common offering from NASDAQ OMX exchanges in Helsinki, Copenhagen, Stockholm, Iceland, Tallinn, Riga, and Vilnius. For more information about NASDAQ OMX, visit www.nasdaqomx.com.