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

Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail

4-698 comments for limited liability amendment

4-698 comments for CAT Reporter Agreement Amendment

4-698 comments revised linkage timeline amendment

Older comments for 4-698

How to Submit Comments

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]

Submitted Comments

 (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

Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail

4-698 comments for limited liability amendment

4-698 comments for CAT Reporter Agreement Amendment

4-698 comments revised linkage timeline amendment

Older comments for 4-698

How to Submit Comments

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]

Submitted Comments

 (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

Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail

4-698 comments for limited liability amendment

4-698 comments for CAT Reporter Agreement Amendment

4-698 comments revised linkage timeline amendment

Older comments for 4-698

How to Submit Comments

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]

Submitted Comments

 (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 CAT Reporter Agreement Amendment

4-698 comments revised linkage timeline amendment

Older comments for 4-698

How to Submit Comments