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 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
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

Last Reviewed or Updated: Feb. 3, 2026

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