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

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Date Received
Date Letter Type Commenter Name
Public Comment Kelvin To, Founder and President, Data Boiler Technologies, LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 20, 2025 meeting with participants
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 26, 2025 meeting with Counsel for Participants to the CAT NMS Plan
Public Comment Robert Walley, CAT NMS Plan Operating Committee Chair, Consolidated Audit Trail, LLC
Meeting with SEC Officials 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
Public Comment Robert Walley, CAT NMS Plan Operating Committee Chair
Public Comment Howard Meyerson, Managing Director, Financial Information Forum
Public Comment Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, FINRA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 22, 2025 meeting with representatives of CAT NMS Plan and FINRA CAT
Meeting with SEC Officials 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
Public Comment Jamie Klima, General Counsel, NYSE
Public Comment Howard Meyerson, Managing Director, Financial Information Forum
Public Comment Gerald O'Hara, Vice President and Assistant General Counsel, SIFMA; Joseph Corcoran, Managing Director, Associate General Counsel, SIFMA
Public Comment Brandon Becker, CAT NMS Plan Operating Committee Chair, Consolidated Audit Trail, LLC
Public Comment Benjamin L. Schiffrin, Director of Securities Policy, Better Markets, Inc.
Public Comment Howard Meyerson, Managing Director, Financial Information Forum

Last Reviewed or Updated: Dec. 18, 2025

File Number
4-698
Release Number
34-102665
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