Selected Consolidated Audit Trail (CAT) NMS Plan Topics


SIFMA provides comments to the industry’s self-regulatory organizations (SROs) and the Exchanges on the four selected topics concerning the National Market System Plan (the NMS Plan) relating to the consolidated audit trail (CAT) required under Rule 613 of the Securities and Exchange Act of 1934 (the Exchange Act). The SRO’s published the request for public comment on April 22, 2013. The four selected topics are: Primary Market Transactions; Advisory Committee; Time Stamp Requirement; and Clock Synchronization.

SIFMA also looks forward to the opportunity to provide the SROs with comments on all aspects of the complete NMS Plan, prior to its filing with the SEC.