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Agenda
Reg Review
ICR
ICR Documents
Supporting Statement A
Document
Date Uploaded
CAT NMS Plan Order Supporting Statement (December 1).pdf
12/02/2016
Supporting Statement B
Document
Date Uploaded
Supplementary Documents
Title
Document
Document Type
Date Uploaded
CAT Notice 8 2016
CAT NMS Plan Notice Supporting Statement - 8-8-16.docx
Supplementary Document
11/22/2016
Public Comments
Author Name
Comment Document
Author Affiliation
Sponsoring Org.
Type
Category
Date of Comment
Date Comment Received
Anonymous
Data Boiler Letter.pdf
Data Boiler Technologies
Letter
Simple
07/15/2016
07/15/2016
Bryant, Marc
Fidelity Investments Letter.pdf
Deputy General Counsel
Fidelity Investments
Letter
Simple
07/18/2016
07/18/2016
Stone, Gary
Bloomberg Letter.pdf
Chief Strategy Officer for Trading Solutions and Global Regulatory Policy Group
Bloomberg LP
Letter
Simple
07/18/2016
07/18/2016
Foster, Richard
Financial Services Roundtable Letter.pdf
Senior Vice President and Senior Counsel for Regulatory and Legal Affairs
Financial Services Roundtable
Letter
Simple
07/15/2016
07/15/2016
Anonymous
Response Letter I.pdf
The Plan Participants
Letter
Simple
09/02/2016
09/02/2016
Von Kaenel, Mary Lou
Financial Information Forum Letter.pdf
Managing Director
Financial Information Forum
Letter
Simple
07/18/2016
07/18/2016
Bellaire, David
Financial Services Institute Letter.pdf
Executive Vice President & General Counsel
The Financial Services Institute
Letter
Simple
07/18/2016
07/18/2016
Lazo, Theodore
SIFMA Letter.pdf
Managing Director and Associate General Counsel
The Securities Industry and Financial Markets Association
Letter
Simple
07/18/2016
07/18/2016
Kimmel, Manisha
Thomson Reuters Letter.pdf
Chief Regulatory Officer, Wealth Management
Thomson Reuters
Letter
Simple
07/18/2016
07/18/2016
Anonymous
Response Letter II.pdf
The Plan Participants
Letter
Simple
09/23/2016
09/23/2016
Anonymous
Response Letter III.pdf
The Plan Participants
Letter
Simple
10/07/2016
10/07/2016
Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.