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
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
Meeting with SEC Officials 34-94984 Memorandum from the Division of Division of Trading and Markets regarding a January 11, 2023 meeting with representatives of DASH Financial Technologies LLC
Public Comment 34-94984 Timothy Miller, Chief Operating Officer, DASH Financial Technologies LLC
Public Comment 34-94984 Kelvin To, MSc Banking, MMGT, BSc, Founder and President, Data Boiler Technologies, LLC
Meeting with SEC Officials 34-94984 Memorandum from the Division of Trading and Markets regarding a December 15, 2022 meeting with representatives of the Securities Industry and Financial Markets Association
Public Comment 34-94984 Ellen Greene, Managing Director, Equities & Options Market Structure, and Joseph Corcoran, Managing Director and Associate General Counsel, SIFMA
Public Comment 34-94984 Operating Committee of the CAT NMS Plan
Public Comment 34-94984 Ellen Greene, Managing Director, Equities & Options Market Structure, and Joseph Corcoran, Managing Director and Associate General Counsel, SIFMA

Last Reviewed or Updated: Dec. 18, 2025

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