Joint Industry Plan; Order Approving the National Market System Plan Governing the Consolidated Audit Trail

Document Headings Document headings vary by document type but may contain the following: the agency or agencies that issued and signed a document the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to the agency docket number / agency internal file number the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions See the Document Drafting Handbook for more details. Securities and Exchange Commission [Release No. 34-79318; File No. 4-698] ( printed page 84696) November 15, 2016. SUPPLEMENTARY INFORMATION: Table of Contents Supplementary Information I. Introduction II. Background III. Description of the Proposed Plan 1. LLC Agreement 2. Participants 3. Management 4. Initial Plan Processor Selection 5. Functions and Activities of the CAT System 6. Financial Matters 7. Amendments 8. Compliance Rule Applicable to Industry Members 9. Plan Appendices 10. Reporting Procedures 11. Timeliness of Data Reporting 12. Uniform Format 13. Symbology 14. CAT-Reporter-ID 15. Customer-ID 16. Order Allocation Information 17. Options Market Maker Quotes 18. Primary Market Transactions, Debt Securities and Futures 19. Error Rates 20. Retirement of Existing Trade and Order Data Rules and Systems 21. Regulatory Access 22. Upgrades and New Functionalities 23. Business Continuity and Disaster Recovery 24. Records and Accounting and Dissolution and Termination of the Company 25. Security of Data 26. Governing or Constituent Documents 27. Development and Implementation Phases 28. Written Understanding or Agreements Relating To Interpretation of, or Participation in, the Plan 29. Dispute Resolution IV. Discussion and Commission Findings A. Definitions, Effectiveness of Agreement, and Participation (Articles I, II, and III) B. Management of the Company (Article IV) 1. Operating Committee 2. Advisory Committee 3. Officers of the Company 4. Additional Governance Provis…