Comments on NMS Plan

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

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-97151 Gerald O'Hara, Vice President & Assistant, General Counsel, and Katie Kolchin CFA, Managing Director, Head of Equity & Options Market Structure, SIFMA
Meeting with SEC Officials 34-97151, 34-102665 Memorandum from the Division of Trading and Markets regarding a November 20, 2025 meeting with participants
Public Comment 34-97151 Robert Walley, CAT NMS Plan Operating Committee Chair
Meeting with SEC Officials 34-97151 Memorandum from the Division of Trading and Markets regarding a December 12, 2025 meeting with participants
Public Comment 34-97151 Joanna Mallers, Secretary, PTG
Public Comment 34-97151 Christopher A. Iacovella, President & Chief Executive Officer, American Securities Association
Public Comment 34-97151 Patrick Sexton, EVP, General Counsel & Corporate Secretary, Cboe
Public Comment 34-97151 Joseph P. Corcoran, Managing Director and Associate General Counsel, and Katie Kolchin CFA, Managing Director, Head of Equity & Options Market Structure, SIFMA
Public Comment 34-97151 Gentry Collins, CEO, The American Free Enterprise Chamber of Commerce
Public Comment 34-97151 Steffen N. Johnson, Wilson Sonsini Goodrich & Rosati Professional Corporation on behalf of the Financial Industry Regulatory Authority, Inc. (FINRA)
Public Comment 34-97151 Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel Securities
Public Comment 34-97151 Lindsey Weber Keljo, SIFMA Asset Management Group
Meeting with SEC Officials 34-97151 Memorandum from the Office of the Chair regarding a September 5, 2023 meeting with Citadel Securities
Meeting with SEC Officials 34-97151 Memorandum from the Office of the Chair regarding an August 31, 2023 meeting with the CAT Operating Committee
Meeting with SEC Officials 34-97151 Memorandum from the Office of Commissioner Mark T. Uyeda regarding an August 28, 2023, meeting with representatives of SIFMA
Public Comment 34-97151 Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel Securities
Meeting with SEC Officials 34-97151 Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 1, 2023, meeting with representatives of the Consolidated Audit Trail Leadership Team
Public Comment 34-97151 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
Public Comment 34-97151 Brandon Becker, CAT NMS Plan Operating Committee Chair
Meeting with SEC Officials 34-97151 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
Meeting with SEC Officials 34-97151 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
Meeting with SEC Officials 34-97151, 34-97143, 34-96493, 34-96494, 34-96495, 34-96496 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a July 24, 2023, meeting with representatives of Hudson River Trading, LLC
Meeting with SEC Officials 34-97151, 34-96494 Memorandum from the Office of the Chair regarding a July 20, 2023 meeting with Modern Markets Initiative
Public Comment 34-97151 Joanna Mallers, Secretary, FIA Principal Traders Group
Meeting with SEC Officials 34-97151 Memorandum from the Office Of Commissioner Caroline Crenshaw regarding a June 5, 2023 meeting with representatives of SIFMA
Public Comment 34-97151 Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel Securities
Public Comment 34-97151 Douglas A. Cifu, Chief Executive Officer, Virtu Financial
Public Comment 34-97151 Ellen Greene, Managing Director, Equities & Options Market Structure and Joseph P. Corcoran, Managing Director, Associate General Counsel, SIFMA
Public Comment 34-97151 Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative
Public Comment 34-97151 Timothy Miller, Chief Operating Officer, Dash Financial Technologies LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
4-698
Release Number
34-94984
34-97151
34-91555
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