Comments on NMS Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail; (Funding Model Amendment)

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Date Received
Date Letter Type Release Number Commenter Name
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 4, 2026 meeting re: Proposed Amendment to the CAT NMS Plan
Public Comment 34-102665 Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, FINRA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 30, 2026 meeting re: Proposed Amendment to the CAT NMS Plan
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 Stephen John Berger, Managing Director, Global Head of Government & Regulatory Policy
Public Comment Robert Walley, CAT NMS Plan Operating Committee Chair
Meeting with SEC Officials 34-104504 Memorandum from the Division of Trading and Markets regarding a January 13, 2026 meeting re: Proposed Amendments to the CAT NMS Plan
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

Last Reviewed or Updated: Feb. 3, 2026

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