Search:
   

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?


Email Alert Subscriptions:
Nasdaq offers customers the ability to self select news delivery across various Nasdaq 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. To unsubscribe, also click on the enrollment form

Please follow Nasdaq on Facebook RSS and Twitter.

Nasdaq (Nasdaq: NDAQ) is a leading global provider of trading, clearing, exchange technology, listing, information and public company services. Through its diverse portfolio of solutions, Nasdaq enables customers to plan, optimize and execute their business vision with confidence, using proven technologies that provide transparency and insight for navigating today's global capital markets. As the creator of the world's first electronic stock market, its technology powers more than 90 marketplaces in 50 countries, and 1 in 10 of the world's securities transactions. Nasdaq is home to approximately 3,900 total listings with a market value of approximately $13 trillion. To learn more, visit: business.nasdaq.com.

View NASDAQTrader.com Mobile