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Friday, January 18, 2013

Equity Regulatory Alert #2013 - 3
Consolidated Audit Trail Pre-RFP Bidders Conference

Markets Impacted:

Contact Information:

  • NASDAQ Office of General Counsel at +1 301 978 8400
  • Contact Manny Alicandro at +1 212 401 8982.

What you need to know:

  • On Tuesday, January 29, 2013, the national securities exchanges and FINRA (collectively the "SROs") together are hosting an event for interested parties that may wish to respond to the request for proposal (RFP) the SROs will be issuing related to the creation of a Consolidated Audit Trail (CAT), as required by SEC Rule 613.
  • The event will be held on January 29, 2012 from 2:00 p.m. to 4:00 p.m. at the Digital Sandbox, located at 55 Broad Street, New York, NY 10004.
  • Register for in-person attendance by January 25, 2013 and for phone participation by January 29, 2013

What is the purpose of the meeting?

During this event, the SROs will discuss the Information for CAT Bidders document recently published on the CAT NMS Plan website.

The event will focus on the anticipated content and structure of the RFP that will be published in February 2013 including the technical, business and operational requirements that the SROs anticipate will be included in the RFP. The SROs will also discuss the information that must be provided by bidders in response to the RFP with respect to each requirement.

When is the event?

The event will be held on Tuesday, January 29, 2013 at 2:00 p.m., Eastern Time (ET) to 4:00 p.m., ET, at Digital Sandbox, located at 55 Broad Street, New York, NY 10004.

To accommodate interested parties that cannot attend in person, a listen-only dial-in number is also being provided.

Who is the event for?

This event is for parties that are interested in responding to the RFP.

While this event is intended for interested bidders, non-bidders are welcome to listen on a conference line, but will not be able to ask questions over the phone. Please note that the event is closed to the media.

Do I need to register for the event?

Yes. Both in-person attendance and phone participation require pre-registration. To register for this event, please go to this link. Please note that the deadline to register for in-person attendance is January 25, 2013. Registration for phone participants will be open until 1:30 p.m., ET, January 29, 2013.

Do I need to submit questions to the SROs in advance of the event?

Participants are encouraged to send questions to the SROs in advance of the event so that we can provide as much information as possible during the event. Please submit questions that you would like addressed to feedback@catnmsplan.com.

Where can I find additional information


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