[ by Howard Haykin ]

The national securities exchanges and FINRA  – collectively the "SROs" – will co-host an industry event to discuss SEC Rule 613 requiring the creation of a Consolidated Audit Trail (CAT).

The event will be held on October 15 and 16 at Bayard's, 1 Hanover Square, in downtown New York.  Two identical sessions will be held - one on each day.  The event is open to all industry and other interested participants, although media folk are 'persona non grata'.

Event Content. The SROs will provide an overview of Rule 613 and the steps the SROs are taking to develop an NMS Plan as required in Rule 613. This event will also include an open Q & A and feedback session so that industry participants may ask questions of the SROs and share feedback on key implementation issues.

To accommodate interested parties that cannot attend in person, a listen only dial-in number is also being provided. Please note that we will not be able to entertain questions from dial-in participants during the event. At the conclusion of the event, presentation materials will be posted on the catnmsplan.com website.

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.

Advance registration for this event is required.  Please click on the link below to register.

For further details, go to:  [CAT Industry Event, 10/1/12].

To register for the event, go to:  [Event Registration].