About the Consolidated Audit Trail
Rule 613, adopted by the SEC in July 2012, requires the national securities exchanges and Financial Industry Regulatory Authority, Inc. to submit to the SEC an NMS Plan (the CAT NMS Plan) to create, implement, and maintain the CAT. The CAT will be an audit trail that will allow regulators to more efficiently and accurately track activity in NMS securities and over-the-counter equity securities throughout the U.S. markets. The purpose of the CAT NMS Plan is to create a central repository for the SROs, in performing their self-regulatory obligations, and the SEC to perform surveillance on order event data linked to customer and account information, and to permit regulators to efficiently and effectively perform market reconstructions. When complete, the CAT will be the world's largest data repository for securities transactions, tracking approximately 58 billion records of orders, executions, and quote life-cycles for equities and options markets on a daily basis.
Additional information about the CAT NMS Plan can be found at www.catnmsplan.com.
CAT NMS PLAN PARTICIPANTS:
Bats BYX Exchange, Inc.
Bats BZX Exchange, Inc.
Bats EDGA Exchange, Inc.
Bats EDGX Exchange, Inc.
BOX Options Exchange LLC
C2 Options Exchange, Incorporated
Chicago Board Options Exchange, Incorporated
Chicago Stock Exchange, Inc.
Financial Industry Regulatory Authority, Inc.
International Securities Exchange, LLC
Investors Exchange, LLC
ISE Gemini, LLC
ISE Mercury, LLC
Miami International Securities Exchange LLC
MIAX PEARL, LLC
NASDAQ BX, Inc.
NASDAQ PHLX LLC
The NASDAQ Stock Market LLC
National Stock Exchange, Inc.
New York Stock Exchange LLC
NYSE Arca, Inc.
NYSE MKT LLC
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SOURCE Consolidated Audit Trail