Comments on Notice of Filing of Amendment to the National Market System Plan
Governing the Consolidated Audit Trail
[Release No. 34-97151; File No. 4-698]
| Sep. 5, 2023 | Lindsey Weber Keljo, SIFMA Asset Management Group |
| Aug. 22, 2023 | Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel Securities |
| Jul. 31, 2023 | Joseph Corcoran, Managing Director, Associate General Counsel, SIFMA; Ellen Greene, Managing Director, Equities & Options Market Structure,
SIFMA; and Howard Meyerson, Managing Director, Financial Information Forum |
| Jul. 28, 2023 | Brandon Becker,
CAT NMS Plan Operating Committee Chair |
| Jul. 14, 2023 | Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel Securities |
| Jul. 14, 2023 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| Jul. 13, 2023 | Ellen Greene, Managing Director, Equities & Options Market Structure and Joseph P. Corcoran, Managing Director, Associate General Counsel, SIFMA |
| Jul. 13, 2023 | Timothy Miller, Chief Operating Officer, Dash Financial Technologies LLC |
| Jul. 13, 2023 | Douglas A. Cifu, Chief Executive Officer, Virtu Financial |
| Jul. 13, 2023 | Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative |
| Jun. 15, 2023 | Brandon Becker, CAT NMS Plan Operating Committee Chair |
| Jun. 5, 2023 | Ellen Greene, Managing Director, Equities & Options Market Structure and Joseph Corcoran, Managing Director, Associate General Counsel, SIFMA |
| May 25, 2023 | Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, Financial Industry Regulatory Authority, Inc. |
| May 18, 2023 | Brandon Becker, CAT NMS Plan Operating Committee Chair |
| May 2, 2023 | Ellen Greene, Managing Director, Equities & Options Market Structure and Joseph Corcoran, Managing Director, Associate General Counsel, SIFMA |
| Apr. 11, 2023 | Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, Financial Industiy Regulato1y Authority, Inc. |
| Apr. 11, 2023 | Timothy Miller, Chief Operating Officer, DASH Financial Technologies LLC |
Meetings with SEC Officials
(Click here for submitted comments from the public) |
| Sep. 5, 2023 | Memorandum from the Office of the Chair regarding a September 5, 2023 meeting with Citadel Securities |
| Aug. 31, 2023 | Memorandum from the Office of the Chair regarding an August 31, 2023 meeting with the CAT Operating Committee |
| Aug. 28, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding an August 28, 2023, meeting with representatives of SIFMA |
| Aug. 1, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce
regarding an August 1, 2023,
meeting with representatives of the Consolidated Audit Trail Leadership Team |
| Jul. 27, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a July 27, 2023 meeting with the Leadership Team of the Consolidated Audit Trail LLC |
| Jul. 25, 2023 | Memorandum from the Office Of Commissioner Hester M. Peirce regarding a July 25, 2023 meeting with representatives of the Futures Industry Association Principal Traders Group |
| Jul. 25, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a July 24, 2023, meeting with representatives of Hudson River Trading, LLC |
| Jul. 14, 2023 | Memorandum from the Office Of Commissioner Caroline Crenshaw regarding a June 5, 2023 meeting with representatives of SIFMA |
| Jul. 20, 2023 | Memorandum from the Office of the Chair regarding a July 20, 2023 meeting with Modern Markets Initiative |
| Jul. 10, 2023 | Memorandum from the Office of the Chair regarding a July 6, 2023
meeting with representatives of the CAT Operating Committee |
| Jul. 10, 2023 | Memorandum from the Office of the Chair regarding a June 28, 2023
meeting with representatives of the CAT Operating Committee |
| Jun. 1, 2023 | Memorandum from the Division of Trading and Markets
regarding a June 1, 2023, meeting with representatives of the Securities Industry and Financial Markets Association |
| May 30, 2023 | Memorandum from the Office Of Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 30, 2023, meeting with representatives of SIFMA |
| May 2, 2023 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 2, 2023 meeting with representatives of the Consolidated Audit Trail LLC |
| Apr. 18, 2023 | Memorandum from the Office of Commissioner Uyeda Regarding an April 17, 2023, meeting with representatives of the Leadership Team of the Consolidated Audit Trail LLC |
| Mar. 31, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a March 31, 2023, meeting with representatives of CAT LLC |
| Mar. 21, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 21, 2023, meeting with representatives of CAT LLC |
| Mar. 2, 2023 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a March 2, 2023 meeting with representatives of FINRA |
Comments on Notice of Filing of Amendment to the National Market System Plan
Governing the Consolidated Audit Trail
[Release No. 34-94984; File No. 4-698]
|
(Click here for meetings with SEC officials)
|
| Mar. 2, 2023 | Consolidated Audit Trail, LLC |
| Feb. 23, 2023 | Christopher A. Iacovella, Chief Executive Officer, American Securities Association |
| Feb. 15, 2023 | CAT LLC |
| Feb. 14, 2023 | David Dooman, ION |
| Jan. 31, 2023 | Patrick Murphy, Chief Operating Officer, Wolverine Execution Services, LLC |
| Jan. 12, 2023 | Ellen Greene, Managing Director, Equities Options Market Structure and Joseph Corcoran, Managing Director, Associate General Counsel, SIFMA |
| Jan. 3, 2023 | Timothy Miller, Chief Operating Officer, DASH Financial Technologies LLC |
| Dec. 22, 2022 | Kelvin To, MSc Banking, MMGT, BSc, Founder and President, Data Boiler Technologies, LLC |
| Dec. 14, 2022 | Ellen Greene, Managing Director, Equities & Options Market Structure, and Joseph Corcoran, Managing Director and Associate General Counsel, SIFMA |
| Nov. 15, 2022 | Operating Committee of the CAT NMS Plan |
| Oct. 7, 2022 | Ellen Greene, Managing Director, Equities & Options Market Structure, and Joseph Corcoran, Managing Director and Associate General Counsel, SIFMA |
| Aug. 16, 2022 | Mike Simon, CAT NMS Plan Operating Committee Chair |
| Jun. 22, 2022 | Ellen Greene, Managing Director, Equities & Options Market Structure, SIFMA and Joseph Corcoran, Managing Director and Associate General Counsel, SIFMA |
| Jun. 22, 2022 | Thomas M. Merritt, Deputy General Counsel, Virtu Financial |
| Jun. 22, 2022 | Marcia Asquith, Corporate Secretary, EVP, FINRA |
| Jun. 21, 2022 | Larry Harris, Fred V. Keenan, Chair in Finance, USC Marshall School of Business |
| Jun. 21, 2022 | Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative |
| May 13, 2022 | Michael Simon, Chair, CAT NMS Plan Operating Committee |
Meetings with SEC Officials
(Click here for submitted comments from the public) |
| Feb. 28, 2023 | Memorandum from the Division of Trading and Markets
regarding a February 28, 2023 meeting with representative of the Securities Industry and Financial Markets Association |
| Jan. 11, 2023 | Memorandum from the Division of Division of Trading and Markets regarding a January 11, 2023 meeting with representatives of DASH Financial Technologies LLC |
| Dec. 15, 2022 | Memorandum from the Division of Trading and Markets regarding a December 15, 2022 meeting with representatives of the Securities Industry and Financial Markets Association |
| Jul. 22, 2022 | Memorandum from the Division of Trading and Markets regarding a July 22, 2022 meeting with representatives of the Securities Industry and Financial Markets Association |
Comments on Notice of Filing of Amendment to the National Market System Plan
Governing the Consolidated Audit Trail
[Release No. 34-94984; File No. 4-698]
|
(Click here for meetings with SEC officials)
|
| Apr. 11, 2023 | Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, Financial Industiy Regulato1y Authority, Inc. |
| Apr. 11, 2023 | Timothy Miller, Chief Operating Officer, DASH Financial Technologies LLC |
| Mar. 2, 2023 | Consolidated Audit Trail, LLC |
| Feb. 23, 2023 | Christopher A. Iacovella, Chief Executive Officer, American Securities Association |
| Feb. 15, 2023 | CAT LLC |
| Feb. 14, 2023 | David Dooman, ION |
| Jan. 31, 2023 | Patrick Murphy, Chief Operating Officer, Wolverine Execution Services, LLC |
| Jan. 12, 2023 | Ellen Greene, Managing Director, Equities Options Market Structure and Joseph Corcoran, Managing Director, Associate General Counsel, SIFMA |
| Jan. 3, 2023 | Timothy Miller, Chief Operating Officer, DASH Financial Technologies LLC |
| Dec. 22, 2022 | Kelvin To, MSc Banking, MMGT, BSc, Founder and President, Data Boiler Technologies, LLC |
| Dec. 14, 2022 | Ellen Greene, Managing Director, Equities & Options Market Structure, and Joseph Corcoran, Managing Director and Associate General Counsel, SIFMA |
| Nov. 15, 2022 | Operating Committee of the CAT NMS Plan |
| Oct. 7, 2022 | Ellen Greene, Managing Director, Equities & Options Market Structure, and Joseph Corcoran, Managing Director and Associate General Counsel, SIFMA |
| Aug. 16, 2022 | Mike Simon, CAT NMS Plan Operating Committee Chair |
| Jun. 22, 2022 | Ellen Greene, Managing Director, Equities & Options Market Structure, SIFMA and Joseph Corcoran, Managing Director and Associate General Counsel, SIFMA |
| Jun. 22, 2022 | Thomas M. Merritt, Deputy General Counsel, Virtu Financial |
| Jun. 22, 2022 | Marcia Asquith, Corporate Secretary, EVP, FINRA |
| Jun. 21, 2022 | Larry Harris, Fred V. Keenan, Chair in Finance, USC Marshall School of Business |
| Jun. 21, 2022 | Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative |
| May 13, 2022 | Michael Simon, Chair, CAT NMS Plan Operating Committee |
Meetings with SEC Officials
(Click here for submitted comments from the public) |
| Feb. 28, 2023 | Memorandum from the Division of Trading and Markets
regarding a February 28, 2023 meeting with representative of the Securities Industry and Financial Markets Association |
| Jan. 11, 2023 | Memorandum from the Division of Division of Trading and Markets regarding a January 11, 2023 meeting with representatives of DASH Financial Technologies LLC |
| Dec. 15, 2022 | Memorandum from the Division of Trading and Markets regarding a December 15, 2022 meeting with representatives of the Securities Industry and Financial Markets Association |
| Jul. 22, 2022 | Memorandum from the Division of Trading and Markets regarding a July 22, 2022 meeting with representatives of the Securities Industry and Financial Markets Association |
Comments on Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
(Funding Model Amendment)
[Release No. 34-91555; File No. 4-698]
|
(Click here for meetings with SEC officials)
|
| Dec. 8, 2021 | Michael Simon, CAT NMS Plan Operating Committee Chair |
| Nov. 29, 2021 | Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative |
| Aug. 20, 2021 | Venu Palaparthi, Co-COO, Dash Financial Technologies LLC |
| Aug. 16, 2021 | Kelvin To, Founder and President, Data Boiler Technologies, LLC |
| Aug. 16, 2021 | Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute |
| Aug. 11, 2021 | Market Mechanics |
| Jul. 14, 2021 | Michael Simon, CAT NMS Plan Operating Committee Chair |
| Jul. 14, 2021 | Michael Simon, CAT NMS Plan Operating Committee Chair |
| Jun. 29, 2021 | William Bartlett, Parallax Volatility Advisers, L.P. |
| Jun. 11, 2021 | James Toes, President & CEO, Security Traders Association and Andrew D’Amore, Chairman of the Board, Security Traders Association |
| Jun. 10, 2021 | Michael Simon, CAT NMS Plan Operating Committee Chair |
| Jun. 1, 2021 | Doug Patterson, Chief Compliance Officer, Cutler Group, LP |
| May 27, 2021 | Michael Lewin, Chief Executive Officer, Istra LLC |
| May 21, 2021 | Howard Meyerson, Managing Director, Financial Information Forum |
| May 20, 2021 | Andrew Stevens, General Counsel, IMC |
| May 19, 2021 | Gary Goldsholle, Chief Regulatory Officer and General Counsel, Long-Term Stock Exchange, Inc. |
| May 12, 2021 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| May 12, 2021 | Gunjan Chauhan, Senior Managing Director, Global Head of SPDR Capital Markets, State Street Global Advisors |
| May 12, 2021 | Kevin Donohue, General Counsel, Tower Research Capital LLC |
| May 12, 2021 | Marcia E. Asquith, Executive Vice President, Board & External Relations, Financial Industry Regulato1y Authority, Inc. |
| May 12, 2021 | Matthew Price, Chief Operations Officer, Fidelity Capital Markets, National Financial Services LLC |
| May 12, 2021 | Thomas M. Merritt, Deputy General Counsel, Virtu Financial, Inc. |
| May 12, 2021 | Ellen Greene, Managing Director, Equity and Options Market Structure, Securities Industry and Financial Markets Association |
| May 10, 2021 | Michael Blaugrund, Chief Operating Officer, NYSE, Inc. |
| May 7, 2021 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| May 6, 2021 | Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative |
| May 5, 2021 | Michael Simon, CAT NMS Plan Operating Committee Chair |
| May 3, 2021 | Kelvin To, Founder and President, Data Boiler Technologies, LLC |
| Apr. 29, 2021 | Howard Meyerson, Managing Director, Financial Information Forum |
Meetings with SEC Officials
(Click here for submitted comments from the public) |
| Jul. 23, 2021 | Memorandum from the Division of Trading and Markets regarding a July 23, 2021 meeting with representatives of the Securities Industry and Financial Markets Association |
| Jun. 2, 2021 | Memorandum from the Division of Trading and Markets regarding a May 19, 2021 meeting with representatives of the Securities Industry and Financial Markets Association |
Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.
4-698 comments for limited liability amendment
4-698 comments for funding model amendment
4-698 comments for CAT Reporter Agreement Amendment
4-698 comments revised linkage timeline amendment
4-698 comments for CAT Cost Savings Amendment
4-698 comments for CAT Verbal Quotes Amendment
4-698 comments for CAT CAIS Amendment
Older comments for 4-698
How to Submit Comments
