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 Rob Doherty
Public Comment Trenton Vogt
Public Comment Dennis M. Kelleher, President & CEO, and Lev Bagramian, Senior Securities Policy Advisor, Better Markets, Inc.
Public Comment William H. Hebert, Managing Director, Financial Information Forum
Public Comment Michael Simon, Authorized Representative, CAT NMS, LLC
Public Comment Joanna Mallers, Secretary, FIA Principal Traders Group
Public Comment Bats Exchange, Inc., et al.
Public Comment Bats Exchange, Inc., et al.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 10, 2016 meeting with representatives of Better Markets
Public Comment Bats Exchange, Inc., et al.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 5, 2016, meeting with representatives of the Financial Information Forum
Public Comment Rep. Scott Garrett, et al., Members of Congress
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an August 11, 2016, meeting with representatives of the New York Stock Exchange (NYSE)
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an October 12, 2016, meeting with representatives of Better Markets
Public Comment Bats Exchange, Inc., et al.
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a September 26, 2016, meeting with representatives of the D.E. Shaw Group, Millennium Management LLC, Davidson Kempner Capital Management, and the Managed Funds Association
Public Comment Bats Exchange, Inc., et al.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 13, 2016 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 13, 2016 meeting with representatives of Thomson Reuters and clients
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 8, 2016 meeting with representatives of the Better Markets
Public Comment Bats Exchange, Inc., et al.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 15, 2016, meeting with representatives of FINRA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 16, 2016 meeting with representatives of the Financial Services Roundtable
Public Comment Anonymous
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 26, 2016, meeting with representatives of the Financial Industry Regulatory Authority
Public Comment John Russell, Chairman of the Board, and James Toes, President & CEO, Security Traders Association
Public Comment Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange
Public Comment Joanne Moffic-Silver, Chicago Board Options Exchange, Chicago, Illinois
Public Comment Industry Participants of the Development Advisory Group
Public Comment John McCarthy, General Counsel, KCG Holdings, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
4-698
Release Number
34-77724
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