Comments on Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 12, 2024 meeting with representatives of the Financial Industry Regulatory Authority ("FINRA")
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a September 14, 2022 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an August 10, 2022 teleconference with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a July 22, 2022 meeting with representatives of FINRA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a May 18, 2022 meeting with representatives of CAT LLC and FINRACAT
Public Comment John Kennedy, United States Senator et al.
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 15, 2022 meeting with representatives of the RAND Corporation
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a May 18, 2022 meeting with representatives of CAT LLC and FINRACAT
Meeting with SEC Officials Memorandum from the Policy Counsel for Trading and Markets, Office of the Chair regarding a March 3, 2022 meeting with representatives from Cboe
Meeting with SEC Officials Memorandum from the Policy Counsel for Trading and Markets, Office of the Chair regarding a March 1, 2022 meeting with representatives from MayStreet
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a January 26, 2022 meeting with Representatives of NYSE
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a January 25, 2022 meeting with Representatives of Nasdaq
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 10, 2021, meeting with representatives of FINRA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 18, 2021, meeting with representatives of FINRA
Meeting with SEC Officials Memorandum from the Policy Counsel Office regarding an October 22, 2021, meeting with representatives from the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 14, 2021, meeting with representatives of FINRA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 7, 2021, meeting with Representatives of FINRA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 24, 2021, meeting with Representatives of FINRA
Public Comment Kelvin To, Founder and President, Data Boiler Technologies, LLC
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding an April 23, 2021 meeting with the Council of Institutional Investors
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad Roisman regarding a February 8, 2021, meeting with Representatives of SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 3, 2021, meeting with Representatives of the Securities Industry and Financial Markets Association
Public Comment Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Public Comment David Arkules
Public Comment David Arkules, Alex Victor And Associates, LLC
Public Comment Elizabeth K. King, Chief Regulatory Officer, ICE, General Counsel & Corporate Secretary, NYSE
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 16, 2020, meeting with Representatives of Amazon Web Services, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 11, 2020, meeting with Representatives of the Securities Industry and Financial Markets Association
Public Comment Howard Meyerson, Managing Director, Financial Information Forum
Public Comment Micheal Simon, CAT NMS Plan Operating Committee Chair

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-10-20
Release Number
34-89632
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