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SRO-Hosted Consolidated Audit Trail Industry Event

October 15, 2012

The national securities exchanges and FINRA (collectively the SROs) together are hosting an industry event to discuss SEC  Rule 613 requiring the creation of a Consolidated Audit Trail (CAT). This event is taking place in New York City and is open to all industry and other interested participants. Please note that the event is closed to the media.

During this event, the SROs will provide an overview of Rule 613 and the steps they are taking to develop an NMS Plan as required in Rule 613. This event will also include an open Q & A and feedback session so that industry participants may ask questions of the SROs and share feedback on key implementation issues. The SROs are hosting two identical sessions, and we ask that you please select only one session so that we may accommodate all interested parties. The first session takes place on October 15, 2012, from 2 p.m. to 4 p.m., and the second session takes place on October 16, 2012, from 10 a.m. to 12 p.m.

For more details and to register, please visit the CAT NMS Plan website.


October 15, 2012
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