Industry Firms Consult on CAT NMS Plan Response
The Development Advisory Group (DAG), which recently welcomed 15 more member firms, is consulting with US markets' self-regulatory organizations (SROs) on a limited scope of technical and operations issues around the CAT NMS (consolidated audit trail / National Market System) plan mandated under Securities and Exchange Commission (SEC) Rule 613.
The SROs, including the Financial Markets Regulatory Authority (Finra), are planning to narrow the field from 10 bidders to five once the CAT NMS plan
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