Federal Register #SR-NYSE-2026-19

SEC/NYSE Solicitation: Fees for Industry Members to Cover CAT Costs (AWS, FINRA CAT, Algoseek, Legal & Consulting Services)

This opportunity involves the Securities and Exchange Commission (SEC) overseeing a proposed NYSE rule change to establish fees for industry members to cover the budgeted costs of the Consolidated Audit Trail (CAT) for a defined period. - Government Buyer: - Securities and Exchange Commission (SEC) - New York Stock Exchange LLC (NYSE) as the filing entity - OEMs and Vendors: - Amazon Web Services, Inc. (AWS) – cloud hosting services - FINRA CAT, LLC – Plan Processor services - Algoseek, LLC – market data provider - WilmerHale – legal services - Jenner – legal services - Deloitte – consulting services - Anchin – professional/administration services - Grant Thornton – professional/administration services - Products/Services Requested: - Cloud hosting for CAT (AWS) - Plan Processor operations and support (FINRA CAT, LLC) - Market data provision (Algoseek, LLC) - Legal support (WilmerHale, Jenner) - Consulting and budget analysis (Deloitte) - Professional and administration services (Anchin, Grant Thornton) - Regulatory filing fee - CAT Fee 20261: $0.000001 per executed equivalent share, invoiced monthly to CAT Executing Brokers - Notable Requirements: - Total CAT budgeted costs: approximately $15.15 million - Fees allocated to industry members to cover technology, legal, consulting, insurance, and administration - Period of performance: May 1, 2026 through December 31, 2026 - Monthly invoicing for fees - Public comment period on the proposed rule change - Locations: - SEC headquarters and Federal Register Office, Washington, DC - Susquehanna River Basin Commission, Harrisburg, PA (not directly related to CAT but mentioned in the summary)

Description

The New York Stock Exchange LLC has filed a proposed rule change to amend the NYSE Price List to establish fees for industry members related to the reasonably budgeted costs of the Consolidated Audit Trail (CAT) for the period from May 1, 2026, through December 31, 2026. This rule change is filed with the Securities and Exchange Commission and is effective immediately. The fees are intended to cover costs associated with the development, implementation, and operation of the CAT as set forth in the annual operating budget approved by the Operating Committee. The proposal includes detailed budget estimates for technology, operating, legal, consulting, and professional services costs related to the CAT.

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