Direct Edge Regulatory Notice #13-01: Consolidated Audit Trail Pre-RFP Bidders Conference On January 29th In New York

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.  During this event, the SROs will discuss the Information for CAT Bidders document recently published on the www.catnmsplan.com website.

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

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.

Event Details

The event will be held on Tuesday, January 29, 2013 from 2:00 p.m. to 4:00 p.m. at the Digital Sandbox, 55 Broad Street, New York, NY 10004.

Both in-person attendance and phone participation require pre-registration. Please note that the deadline to register for in-person attendance is Friday, January 25, 2013. Registration for phone participants will be open until 1:30 p.m. ET January 29, 2013.  To register for this event, please go to: http://www.cvent.com/d/0cq4b3/4W.

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.

Please note that future industry events are being planned to address other issues related to CAT. Please watch the www.catnmsplan.com website for announcements regarding these events.