Opportunity
Federal Register #SR-NYSEARCA-2026-44
SEC Notice: NYSE Arca Historical CAT Assessment 1A Fee Implementation
Buyer
Securities and Exchange Commission
Posted
May 12, 2026
Identifier
SR-NYSEARCA-2026-44
This notice from the Securities and Exchange Commission (SEC) outlines a regulatory fee change impacting industry members of NYSE Arca, Inc.: - Government Buyer: - Securities and Exchange Commission (SEC) - OEMs and Vendors Mentioned: - Amazon Web Services, Inc. (AWS) for cloud hosting - Kingland Systems for CAIS operating services - Exegy Incorporated for market data - Products/Services Requested: - No procurement of products or services is solicited; instead, the notice establishes the Historical CAT Assessment 1A fee for industry members - Fee rate: $0.000002 per executed equivalent share, invoiced monthly to CAT Executing Brokers - Total amount to be recovered: $38,964,855.34 in historical costs related to the Consolidated Audit Trail (CAT) incurred prior to January 1, 2022 - Notable Requirements: - Fees will be collected monthly starting June 2026 until the full amount is recovered (estimated 24 months, up to 5 years) - Fees are designed to recover technology, legal, consulting, insurance, and public relations costs associated with the CAT NMS Plan - Applies to industry members as defined by NYSE Arca rules - Key Vendors (OEMs) are highlighted for their roles in the CAT system infrastructure, but no new procurement is being solicited.
Description
This notice pertains to a proposed rule change filed by NYSE Arca, Inc., which has been made effective immediately. The rule change involves amendments to the fees and charges for NYSE Arca Equities and Options, specifically to establish fees for industry members related to certain historical costs of the National Market System Plan governing the Consolidated Audit Trail. The fees are intended to recover remaining historical costs incurred prior to January 1, 2022, that were not previously invoiced. The fee rate for this assessment will be $0.000002 per executed equivalent share, with the first invoices expected in June 2026 based on May 2026 transactions.