Federal Register: SEC Requests Comments on Process to Add IEX as Plan Participant

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.