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Number 12-21 12 Sep 2012
 
ATTENTION:    
 
TO:   ALL NYSE AND NYSE MKT EQUITIES MEMBERS AND MEMBER ORGANIZATIONS
 
SUBJECT:   CONSOLIDATED AUDIT TRAIL INDUSTRY CALL

September 19, 2012

4:15 p. m. ET

The national securities exchanges and FINRA (collectively the "SROs") together invite interested industry participants to join a conference call and WebEx presentation on Wednesday, September 19, 2012 at 4:15 p.m. ET regarding SEC Rule 613 requiring the creation of a Consolidated Audit Trail (CAT).

During this call, the SROs will provide an overview of Rule 613, the steps the SROs are taking to develop an NMS CAT Plan as required in Rule 613, and how the SROs plan to solicit industry comments and feedback on key implementation issues. In addition, the SROs will announce future industry events at which interested industry participants are invited to share feedback on implementation issues.

Call Details:

Time: 4:15 p.m. ET

Call-in Number: (800) 779-5244

Leader's Name: Shelly Bohlin

Conference Number: 1133819

Participant Passcode: 6094573

Please note that you must pre-register for the call by 3:15 p.m. ET on September 19, 2012. Participants registering after this time may experience a delay joining the call.

Please note that this event is closed to members of the media.

To register for the telephone portion of this conference:

Go to the HYPERLINK "https://www.mymeetings.com/custom/site/mymeetings/index.jsp?"My Meetings Web page and click on "Web RSVP" on the bottom right corner or go to HYPERLINK "https://www.mymeetings.com/emeet/rsvp/index.jsp?customHeader=mymeetings&sigKey=mymeetings"the website and input the required information.

Enter the conference number and passcode.

Conference Number: 1133819

Conference Passcode: 6094573

PIN: (Important: Leave this area blank or enter your pin to modify an existing reservation)

Provide your information for the event leader and then click submit.

To ensure that you are not held up in the conference call queue as a result of the high call volume, please call in at least five minutes early.

To access the WebEx presentation on the day of the call, please follow the instructions below:

Go to the  HYPERLINK "https://finra.webex.com/mw0306ld/mywebex/default.do?service=1&siteurl=finra&nomenu=true&main_url=%2Fmc0805ld%2Fe.do%3Fsiteurl%3Dfinra%26AT%3DMI%26EventID%3D205271357%26UID%3D0%26Host%3D700c5d042203181a%26FrameSet%3D2%26PW%3DNYTNjNWZmNTdm" CAT NMS Plan Industry Call Web page

Enter the meeting password: CAT

Click "Join"

Note: When accessing the WebEx application, please follow the download instructions if prompted.


NYSE Regulation, Inc


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