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
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
Meeting with SEC Officials 34-97151 Memorandum from the Office of the Chair regarding a July 6, 2023 meeting with representatives of the CAT Operating Committee
Meeting with SEC Officials 34-97151 Memorandum from the Office of the Chair regarding a June 28, 2023 meeting with representatives of the CAT Operating Committee
Public Comment 34-97151 Brandon Becker, CAT NMS Plan Operating Committee Chair
Public Comment 34-97151 Ellen Greene, Managing Director, Equities & Options Market Structure and Joseph Corcoran, Managing Director, Associate General Counsel, SIFMA
Meeting with SEC Officials 34-97151 Memorandum from the Division of Trading and Markets regarding a June 1, 2023, meeting with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-97151 Memorandum from the Office Of Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 30, 2023, meeting with representatives of SIFMA
Public Comment 34-97151 Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, Financial Industry Regulatory Authority, Inc.
Public Comment 34-97151 Brandon Becker, CAT NMS Plan Operating Committee Chair
Public Comment 34-97151 Ellen Greene, Managing Director, Equities & Options Market Structure and Joseph Corcoran, Managing Director, Associate General Counsel, SIFMA
Meeting with SEC Officials 34-97151 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 2, 2023 meeting with representatives of the Consolidated Audit Trail LLC
Meeting with SEC Officials 34-97151 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
Public Comment 34-94984, 34-97151 Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, Financial Industiy Regulato1y Authority, Inc.
Public Comment 34-94984, 34-97151 Timothy Miller, Chief Operating Officer, DASH Financial Technologies LLC
Meeting with SEC Officials 34-97151 Memorandum from the Office of Commissioner Jaime Lizárraga regarding a March 31, 2023, meeting with representatives of CAT LLC
Meeting with SEC Officials 34-97151 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 21, 2023, meeting with representatives of CAT LLC
Public Comment 34-94984 Consolidated Audit Trail, LLC
Meeting with SEC Officials 34-97151 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a March 2, 2023 meeting with representatives of FINRA
Meeting with SEC Officials 34-94984 Memorandum from the Division of Trading and Markets regarding a February 28, 2023 meeting with representative of the Securities Industry and Financial Markets Association
Public Comment 34-94984 Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Public Comment 34-94984 CAT LLC
Public Comment 34-94984 David Dooman, ION
Public Comment 34-94984 Patrick Murphy, Chief Operating Officer, Wolverine Execution Services, LLC
Public Comment 34-94984 Ellen Greene, Managing Director, Equities Options Market Structure and Joseph Corcoran, Managing Director, Associate General Counsel, SIFMA

Last Reviewed or Updated: Feb. 3, 2026

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