2020-05-14
3-19766
Securities Industry and Financial Markets Association
/litigation/apdocuments/ap-3-19766.xml
2020-04-22
Application for Review of SRO Action that Violates Exchange Act Sections 19(d) and 19(f)with Exhibit A
/litigation/apdocuments/3-19766-event-2020-04-22-application-for-review.pdf
2020-04-22
Declaration of Lorin L. Reisner in Support of SIFMA’s Application Pursuant to Exchange Act Sections 19(d) and 19(f) with Exhibits 1-11
/litigation/apdocuments/3-19766-event-2020-04-22-declaration-of-lorin-reisner-in-support-of-sifma-application.pdf
2020-04-22
SIFMA'S Motion to Stay SRO Action Pending Commission Review of SIFMA's Application Pursuant to Exchange Act Sections 19(d) and 19(f) and Incorporated Memorandum of Law
/litigation/apdocuments/3-19766-event-2020-04-22-sifma-motion-to-stay-sro-action.pdf
2020-04-23
Letter from Consolidated Audit Trail, LLC to the Office of the Secretary in response to SIFMA motion for stay
/litigation/apdocuments/3-19766-2020-04-23-letter-from-cat-llc.pdf
2020-04-27
34-88750
Order Granting Extension of Time
/litigation/opinions/2020/34-88750.pdf
2020-05-06
Consolidates Audit Trail, LLC’s and Participants’ Memorandum of Law in Opposition to SIFMA’s Motion to Stay
/litigation/apdocuments/3-19766-event-2020-05-06-cat-llc-memo-of-law-in-opp-to-sifma-motion-to-stay.pdf
2020-05-13
Joint Stipulation of Dismissal
/litigation/apdocuments/3-19766-event-2020-05-13-joint-stipulation-of-dismissal.pdf
2020-05-14
34-88879
Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding
/litigation/opinions/2020/34-88879.pdf