Wednesday, October 03, 2012

Equity Regulatory Alert #2012 - 9
Consolidated Audit Trail Industry Event

Markets Impacted:

Contact Information:

What you need to know:

  • On Monday October 15, 2012 and Tuesday October 16, 2012 the national securities exchanges and FINRA (collectively the "SROs") together are hosting two identical sessions to discuss SEC Rule 613 requiring the creation of a Consolidated Audit Trail (CAT).
  • These events are being held in New York City and are open to all industry and other interested participants. Please note that the events are closed to the media.

When and where will these events take place?

To ensure there is adequate space available, two identical sessions are being hosted at Bayard's at One Hanover Square in New York.

We kindly ask that you please select only one session so that all interested parties may be accommodated.

  • Session 1 - October 15, 2012, from 2:00 p.m. to 4:00 p.m.
  • Session 2 - October 16, 2012, from 10:00 a.m. to 12:00 p.m.

Do I need to register?

Yes. Advance registration for this event is required. To register please click here.

What is the purpose of the meeting?

During this event, the SROs will provide an overview of Rule 613 and the steps the SROs are taking to develop an NMS Plan as required in Rule 613. This event will also include an open Q & A and feedback session so that industry participants may ask questions of the SROs and share feedback on key implementation issues.

For more information and to register, visit the Industry Event website.

Where can I find additional information?


Subscribe to Email Alerts:
NASDAQ OMX is offering customers the ability to self select news delivery across various NASDAQ OMX markets. Create and maintain a profile for updating alert preferences and contact information. Visit the enrollment form on the NASDAQ Trader website and sign up today! Please note that if you choose to unsubscribe from an email list, you may no longer receive potentially critical emails from the NASDAQ Stock Market regarding NASDAQ's trading and data products, regulatory issues or marketplace initiatives.

Please follow NASDAQ OMX on Facebook RSS and Twitter.

About the NASDAQ OMX Group:
The NASDAQ OMX Group, Inc. is the world's largest exchange company. It delivers trading, exchange technology and public company services across six continents, with more than 3,600 listed companies. NASDAQ OMX offers multiple capital raising solutions to companies around the globe, including its U.S. listings market, NASDAQ OMX Nordic, NASDAQ OMX Baltic, NASDAQ OMX First North, and the U.S. 144A sector. The company offers trading across multiple asset classes including equities, derivatives, debt, commodities, structured products and exchange-traded funds. NASDAQ OMX technology supports the operations of over 70 exchanges, clearing organizations and central securities depositories in more than 50 countries. NASDAQ OMX Nordic and NASDAQ OMX Baltic are not legal entities but describe the common offering from NASDAQ OMX exchanges in Helsinki, Copenhagen, Stockholm, Iceland, Tallinn, Riga, and Vilnius. For more information about NASDAQ OMX, visit www.nasdaqomx.com.

View NASDAQTrader.com Mobile