Monday, December 03, 2012

Equity Regulatory Alert #2012 - 11
Consolidated Audit Trail In-Person Event

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

Where can I find additional information?

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