The national securities exchanges and FINRA (collectively the “SROs”) together invite interested industry participants to join a conference call and WebEx presentation on Wednesday, September 19, 2012 at 4:15 p.m. ET regarding SEC Rule 613 requiring the creation of a Consolidated Audit Trail (CAT).
During this call, the SROs will provide an overview of Rule 613, the steps the SROs are taking to develop an NMS CAT Plan as required in Rule 613, and how the SROs plan to solicit industry comments and feedback on key implementation issues. In addition, the SROs will announce future industry events at which interested industry participants are invited to share feedback on implementation issues.
**Please note that this event is closed to members of the media.**
Call Details
Time: 4:15 p.m. ET
Call-in Number: 800.779.5244
Leader’s Name: Shelly Bohlin
Conference Number: 1133819
Participant Passcode: 6094573
Please note that you must pre-register for the call by 3:15 p.m. ET on September 19, 2012. Participants registering after this time may experience a delay joining the call.
Registration Details
To register for the telephone portion of this conference:
- Go to the MyMeetings Web RSVP page and input the required information.
- Enter the conference number and passcode.
- Conference Number: 1133819
- Conference Passcode: 6094573
- PIN: Leave this area blank or enter your pin to modify an existing reservation
- Provide your information for the event leader and then click submit.
Note: To ensure that you are not held up in the conference call queue as a result of the high call volume, please call in at least five minutes early.
To access the WebEx presentation on the day of the call, please follow the instructions below:
- Go to the CAT NMS Plan Industry Call webpage.
- Enter the meeting password: CAT
- Click "Join”
Note: When accessing the WebEx application, please follow the download instructions if prompted.
