Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail Regarding the Proposed Customer and Account Information System Amendment
[Release No. 34-102665; File No. 4-698]
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(Click here for meetings with SEC officials)
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| Dec. 1, 2025 | Robert Walley, CAT NMS Plan Operating Committee Chair, Consolidated Audit Trail, LLC |
| Sep. 16, 2025 | Robert Walley, CAT NMS Plan Operating Committee Chair |
| Aug. 21, 2025 | Howard Meyerson, Managing Director, Financial Information Forum |
| Jul. 25, 2025 | Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, FINRA |
| Jul. 22, 2025 | Jamie Klima, General Counsel, NYSE |
| Jul. 14, 2025 | Howard Meyerson, Managing Director, Financial Information Forum |
| May 30, 2025 | Gerald O'Hara, Vice President and Assistant General Counsel, SIFMA; Joseph Corcoran, Managing Director, Associate General Counsel, SIFMA |
| May 28, 2025 | Brandon Becker, CAT NMS Plan Operating Committee Chair, Consolidated Audit Trail, LLC |
| Apr. 9, 2025 | Howard Meyerson, Managing Director, Financial Information Forum |
| Apr. 9, 2025 | Benjamin L. Schiffrin, Director of Securities Policy, Better Markets, Inc. |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Dec. 1, 2025 | Memorandum from the Division of Trading and Markets regarding a November 26, 2025 meeting with Counsel for Participants to the CAT NMS Plan
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| Nov. 26, 2025 | Memorandum from the Division of Trading and Markets regarding a September 17 and November 19, 2025 meeting with Counsel for Participants to the CAT NMS Plan |
| Jul. 24, 2025 | Memorandum from the Division of Trading and Markets regarding a July 22, 2025 meeting with representatives of CAT NMS Plan and FINRA CAT |
| Jul. 24, 2025 |
Memorandum from the Division of Trading and Markets regarding an April 16 and 23, 2025, meeting with representatives of CAT NMS Plan and FINRA CAT |
