The SEC requested comment on an amendment ("Amendment 4") to a joint industry plan governing the process of selecting a plan processor and developing a plan for the Consolidated Audit Trail ("CAT"). Participating SROs and exchanges include FINRA, NYSE, BATS-Y Exchange and Nasdaq. The request for comment was published in the Federal Register.
Amendment No. 4:
- amends the selection plan to add the Investors' Exchange LLC as a participant; and
- reflects the name changes of certain other participants.
The SEC noted that the relevant exchange-filed rule proposal implements the name change in each case. The amendment is effective immediately.
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