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 34-94984 Mike Simon, CAT NMS Plan Operating Committee Chair
Meeting with SEC Officials 34-94984, 34-95031 Memorandum from the Division of Trading and Markets regarding a July 22, 2022 meeting with representatives of the Securities Industry and Financial Markets Association
Public Comment 34-94984 Ellen Greene, Managing Director, Equities & Options Market Structure, SIFMA and Joseph Corcoran, Managing Director and Associate General Counsel, SIFMA
Public Comment 34-94984 Marcia Asquith, Corporate Secretary, EVP, FINRA
Public Comment 34-94984 Thomas M. Merritt, Deputy General Counsel, Virtu Financial
Public Comment 34-94984 Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative
Public Comment 34-94984 Larry Harris, Fred V. Keenan, Chair in Finance, USC Marshall School of Business
Public Comment 34-94984 Michael Simon, Chair, CAT NMS Plan Operating Committee
Public Comment 34-91555 Michael Simon, CAT NMS Plan Operating Committee Chair
Public Comment 34-91555 Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative
Public Comment 34-91555 Venu Palaparthi, Co-COO, Dash Financial Technologies LLC
Public Comment 34-91555 Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute
Public Comment 34-91555 Kelvin To, Founder and President, Data Boiler Technologies, LLC
Public Comment 34-91555 Market Mechanics
Meeting with SEC Officials 34-91555 Memorandum from the Division of Trading and Markets regarding a July 23, 2021 meeting with representatives of the Securities Industry and Financial Markets Association
Public Comment 34-91555 Michael Simon, CAT NMS Plan Operating Committee Chair
Public Comment 34-91555 Michael Simon, CAT NMS Plan Operating Committee Chair
Public Comment 34-91555 William Bartlett, Parallax Volatility Advisers, L.P.
Public Comment 34-91555 James Toes, President & CEO, Security Traders Association and Andrew D'Amore, Chairman of the Board, Security Traders Association
Public Comment 34-91555 Michael Simon, CAT NMS Plan Operating Committee Chair
Meeting with SEC Officials 34-90826, 34-91555 Memorandum from the Division of Trading and Markets regarding a May 19, 2021 meeting with representatives of the Securities Industry and Financial Markets Association
Public Comment 34-91555 Doug Patterson, Chief Compliance Officer, Cutler Group, LP
Public Comment 34-91555 Michael Lewin, Chief Executive Officer, Istra LLC
Public Comment 34-91555 Howard Meyerson, Managing Director, Financial Information Forum
Public Comment 34-91555 Andrew Stevens, General Counsel, IMC
Public Comment 34-91555 Gary Goldsholle, Chief Regulatory Officer and General Counsel, Long-Term Stock Exchange, Inc.
Public Comment 34-91555 Ellen Greene, Managing Director, Equity and Options Market Structure, Securities Industry and Financial Markets Association
Public Comment 34-91555 Gunjan Chauhan, Senior Managing Director, Global Head of SPDR Capital Markets, State Street Global Advisors
Public Comment 34-91555 Joanna Mallers, Secretary, FIA Principal Traders Group
Public Comment 34-91555 Kevin Donohue, General Counsel, Tower Research Capital LLC

Last Reviewed or Updated: Dec. 18, 2025

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