Federal Register #SR-NYSE-2026-20

SEC Review of NYSE Rule Change for Historical CAT Assessment Fees and Technology Support

This opportunity involves the Securities and Exchange Commission (SEC) reviewing a proposed NYSE rule change to establish new fees for industry members to recover historical costs for the Consolidated Audit Trail (CAT): - Government Buyer: - Securities and Exchange Commission (SEC) - Involvement of the New York Stock Exchange LLC (NYSE) and Consolidated Audit Trail, LLC (CAT LLC) - OEMs and Technology Vendors: - Amazon Web Services, Inc. (AWS): Cloud hosting for CAT operations - Kingland Systems Corporation: CAIS-related technology services - Thesys Technologies, LLC: Initial Plan Processor for CAT - Exegy Incorporated: Market data provider - Products/Services Requested: - Historical CAT Assessment 1A Fee Collection Service - Fee rate: $0.000002 per executed equivalent share - Purpose: Recover historical CAT costs incurred before January 1, 2022 - Fees payable to CAT LLC - Notable Requirements: - Fees are to recover previously unbilled historical costs for the National Market System Plan - Technology support and operational requirements for CAT are highlighted, with specific mention of key technology providers - No procurement of tangible products; focus is on fee collection and technology support for CAT operations - Place of Performance: - SEC offices at 500 E St SW, Washington, DC - CAT operations supported by technology vendors

Description

The Securities and Exchange Commission has received a proposed rule change from the New York Stock Exchange LLC. The rule change involves amendments to the NYSE Price List to establish fees for industry members related to certain historical costs associated with the National Market System Plan governing the Consolidated Audit Trail. These fees are intended to recover costs incurred prior to January 1, 2022, that were not previously invoiced. The fees will be payable to Consolidated Audit Trail, LLC and are described as Historical CAT Assessment 1A, with a fee rate of $0.000002 per executed equivalent share.

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