Federal Register #SR-NYSEAMER-2026-33

SEC Notice: NYSE American LLC Proposes New Fees for Historical CAT Costs

This notice from the Securities and Exchange Commission (SEC) outlines a proposed rule change by NYSE American LLC regarding fee adjustments for industry members: - The change amends the NYSE American Equities Price List and NYSE American Options Fee Schedule - New fees are introduced to recover $38,964,855.34 in historical costs related to the National Market System Plan Governing the Consolidated Audit Trail (CAT NMS Plan) - The fee, called Historical CAT Assessment 1A, is set at $0.000002 per executed equivalent share - Fees will be payable to Consolidated Audit Trail, LLC (CAT LLC) - Key OEMs and vendors involved in the CAT system: - Amazon Web Services, Inc. (AWS): Provides cloud hosting services for the CAT system - Kingland Systems Incorporation: Delivers CAIS-related services (Customer Account Information System) - Thesys Technologies, LLC: Served as the initial Plan Processor for the CAT - Exegy Incorporated: Supplies market data services - The notice is regulatory and does not request procurement of goods or services - No specific products, part numbers, or purchase quantities are listed - The change is focused on fee recovery for previously incurred technology and service costs

Description

This notice pertains to the filing and immediate effectiveness of a proposed change by NYSE American LLC to amend its price list and fee schedule related to industry member fees, specifically concerning historical costs associated with the National Market System Plan for the Consolidated Audit Trail. The proposed change establishes fees for Industry Members to recover remaining historical 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 in a new section of the fee schedule entitled Consolidated Audit Trail Funding Fees. The fee rate for the new assessment will be $0.000002 per executed equivalent share, with the first invoices expected in June 2026.

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