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 Anonymous
Public Comment Bloomberg, L.P.
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment David W. Blass, General Counsel, Investment Company Institute , Washington, District of Columbia
Public Comment Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc.
Public Comment Larry E. Thompson, Vice Chairman and General Counsel, DTCC, New York, New York
Public Comment Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Public Comment Marc R. Bryant, Senior Vice President, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts
Public Comment Mark Husler, CEO, UnaVista, and Jonathan Jachym, Head of North America Regulatory Strategy & Government Relations, London Stock Exchange Group, London, United Kingdom
Public Comment Mary Lou Von Kaenel, Managing Director, Financial Information Forum
Public Comment Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Public Comment Theodore R. Lazo, Managing Director and Associate General Counsel, and Ellen Greene, Managing Director, Financial Services Operations, SIFMA
Public Comment Wachtel & Co. Inc.
Public Comment Kelvin To, Founder and President, Data Boiler Technologies, LLC
Public Comment Richard Foster, Senior Vice President and Senior Counsel for Regulatory and Legal Affairs, Financial Services Roundtable, Washington, District of Columbia
Public Comment Courtney D. McGuinn, Operations Director, FIX Trading Community, New York, New York
Public Comment Kathleen Weiss Hanley, Bolton-Perella Chair in Finance, Lehigh University, and Jay R. Ritter, Joseph B. Cordell Eminent Scholar Chair, University of Florida

Last Reviewed or Updated: Dec. 18, 2025

File Number
4-698
Release Number
34-77724
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