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SEC Postpones Decision on CAT Revised Funding Model

The SEC extended the time to consider a proposed amendment to the Consolidated Audit Trail ("CAT") National Market System Plan. The amendment would implement a revised funding model for the CAT and impose a related fee schedule. The SEC initially instituted proceedings to decide whether to approve or deny the amendment on July 20, 2021.

The new deadline is December 17, 2021.

Primary Sources

  1. Federal Register: Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the CAT

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Tags

Regulated Activities
Regulatory Fees Trade Reporting
Sub-Activity
CAT
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
BOX Exchange LLC, CBOE, Cboe BYX Exchange, Cboe BZX Exchange, Cboe C2 Options Exchange, Cboe EDGA Exchange, Cboe EDGX Exchange, Investors Exchange LLC, Long-Term Stock Exchange, Miami International Securities Exchange LLC, MIAX Emerald, MIAX Pearl, NASDAQ BX, Nasdaq GEMX, Nasdaq MRX, NASDAQ PHLX, NASDAQ Stock Market, NYSE, NYSE American, NYSE Arca, NYSE Texas, NYSE National, MEMX, FINRA