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SEC proposes amendments to the CAT NMS plan

  • SEC document Image

Sep 11, 2019

The SEC has issued a proposed rule, “Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail,” known as the “CAT NMS Plan.”

The proposed rule would “impose public transparency requirements on the self-regulatory organizations that are participants to the CAT NMS Plan.” Specifically, participants “would be required to file with the Commission and publish a complete implementation plan for the [CAT] and quarterly progress reports, each of which must be approved by a supermajority vote of the Operating Committee of CAT NMS, LLC.”

Comments on the proposed rule are due 45 days after the date of its publication in the Federal Register. For more information, see the press release on the SEC’s Web site.

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