Consolidated Audit Trail NMS Plan (NMS Plan Required to be Filed under Commission Rule 613)

Rule 613 requires the national securities exchanges and national securities association ("Participants") to develop and file a national market system (“NMS”) plan to govern the creation, implementation and maintenance of a consolidated audit trail and central repository for the collection of information for NMS securities. The NMS plan must require each SRO and its respective members to provide certain data to the central repository in compliance with Rule 613. The Participants filed the NMS plan required by Rule 613 ("CAT NMS Plan"). This PRA contains the information collections required by Rule 613, as informed by the data that was provided in the CAT NMS Plan. The Commission approved the initial NMS plan in November 2016.

The latest form for Consolidated Audit Trail NMS Plan (NMS Plan Required to be Filed under Commission Rule 613) expires 2023-07-31 and can be found here.

Central Repository

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight