Thursday, September 13, 2012

Equity Trader Alert #2012 - 35
NASDAQ OMX Announces Consolidated Audit Trail Industry Call on Wednesday, September 19, 2012

Contact Information:

What you need to know:

  • On Wednesday, September 19, 2012, the national securities exchanges and FINRA (collectively the "SROs") will hold a joint market-wide conference call and WebEx presentation at 4:15 p.m., Eastern Time (ET), regarding SEC Rule 613 requiring the creation of a Consolidated Audit Trail (CAT).

What is being announced?

On Wednesday, September 19, 2012, the SROs will hold a joint market-wide conference call and WebEx presentation at 4:15 p.m., Eastern Time (ET), regarding SEC Rule 613 requiring the creation of a Consolidated Audit Trail (CAT).

What will be discussed?

During this call, the SROs will provide an overview of Rule 613, the steps the SROs are taking to develop an NMS CAT Plan as required in Rule 613 and how the SROs plan to solicit industry comments and feedback on key implementation issues. In addition, the SROs will announce future industry events where interested participants are invited to share feedback on implementation issues.

What are the call details?

Time: 4:15 p.m. ET
Call-in Number: +1800 7795244
Leader's Name: Shelly Bohlin
Conference Number: 1133819
Participant Passcode: 6094573

Please note that this event is closed to members of the media.

Do I have to register prior to the call?

Yes. Interested industry participants must pre-register for the call by 3:15 p.m., ET, on September 19, 2012. Participants registering after this time may experience a delay joining the call.

To register for the telephone portion of this conference:

  • Go to our My Meetings Web page and click on "Web RSVP" on the bottom right corner or go to the website and input the required information.
  • Enter the conference number and passcode.
    • Conference Number: 1133819
    • Conference Passcode: 6094573
    • PIN: Important: Leave this area blank or enter your pin to modify an existing reservation
  • Provide your information for the event leader and then click submit.

To ensure that you are not waiting in the conference call queue as a result of high call volume, please call in at least five minutes early.

How do I access the WebEx presentation on the day of the CAT call?

To access the WebEx presentation on the day of the call, please follow the instructions below:

Note: When accessing the WebEx application, please follow the download instructions if prompted.

Where can I find more information?


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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.

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