Comments on NMS Plan

Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.

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Date Received
Date Letter Type Commenter Name
Public Comment Joseph Corcoran, Managing Director and Associate General Counsel, and Gerald O'Hara, Vice President and Assistant General Counsel, SIFMA
Public Comment Andy Kim, United States Senator, Jack Reed, United States Senator, Elizabeth Warren, Ranking Member, Committee on Banking, Housing, and Urban Affairs, and Chris Van Hollen, United States Senator
Public Comment Ty Finch
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 29, 2025 meeting with representatives of Consolidated Audit Trail ("CAT") LLC
Public Comment Howard Meyerson, Managing Director, Financial Information Forum
Public Comment Jaime Klima, General Counsel, New York Stock Exchange
Public Comment John A. Zecca, Executive Vice President, Global Chief Legal, Risk & Regulatory Officer, Nasdaq, and Patrick Sexton, Executive Vice President, General Counsel & Corporate Secretary, Cboe
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester Peirce regarding an April 17, 2025 meeting with representatives of JP Morgan
Public Comment Howard Meyerson, Managing Director, Financial Information Forum
Public Comment Howard Meyerson, Managing Director, Financial Information Forum
Public Comment Bill Hagerty, United States Senator; Barry Loudermilk, Member of Congress; French Hill, Chairman, House Committee on Financial Services; John Boozman, United States Senator; John Kennedy, United States Senator; Ann Wagner, Member of Congress; Bill Huizenga, Member of Congress; Tom Cotton, United States Senator; Tim Scott, Chairman, Senate Committee on Banking, Housing, and Urban Affairs
Public Comment Ellen Greene, Managing Director, Equities & Options Market Structure, Securities Industry and Financial Markets Association and Joseph Corcoran, Managing Director, Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Doris Tan
Public Comment Cheryl Paul
Public Comment David A.
Public Comment Anonymous
Public Comment Adam Poole, Engineer
Public Comment Brian Der Garabedian
Public Comment Christopher David Campbell
Public Comment Christopher J. Smith
Public Comment David M Diaz
Public Comment F. Brandt
Public Comment Matthew Elmore
Public Comment Alan K.
Public Comment Anonymous
Public Comment Dan Heise, Licensed Insurance Producer
Public Comment Greg Gurta
Public Comment Jeremy Harper
Public Comment Justin F.
Public Comment Rianna R. Vilaire, Retail Investor

Last Reviewed or Updated: Dec. 18, 2025

File Number
4-698
Release Number
34-77724
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