ITEM 1: Joint Industry Plan: Amendment to the National Market System Plan Governing the Consolidated Audit Trail

OFFICE: Division of Trading and Markets

STAFF: Haoxiang Zhu, David Saltiel, Andrea Orr, Jennifer Colihan, David Hsu, Leigh Duffy, Sakisha Jackson and Katriana Roh from the Division of Trading and Markets

The Commission will consider whether to adopt a proposed amendment to the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS Plan”) to implement a revised funding model (“Executed Share Model”) for the consolidated audit trail (“CAT”) and to establish a fee schedule for CAT fees for the self-regulatory organizations that are participants to the CAT NMS Plan in accordance with the Executed Share Model.

For further information, please contact David Hsu in the Division of Trading and Markets at (202) 551-5500.