NMS Plans

Consolidated Audit Trail (“CAT”)

• Approval Notice
• CAT NMS Rule
• CAT Clock Synchronization Certification
• For more information, see the CAT NMS Plan website.

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Decentralized Linkage

The Options Order Protection and Locked/Crossed Markets Plan is also referred to as the “Decentralized Linkage Plan”.
The Decentralized Linkage Plan may be viewed here.

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Intermarket Symbols Reservation Authority (“ISRA”)

The National Market System Plan for the Selection and Reservation of Securities Symbols is also referred to as the “Intermarket Symbols Reservation Authority” (“ISRA”).
The ISRA Plan may be viewed here.

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Options Listing Procedures Plan (“OLPP”)

The OLPP may be viewed here.

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Options Price Reporting Authority (“OPRA”)

The OPRA Plan may be viewed on the OPRA website at: http://www.opradata.com/.

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Options Regulatory Surveillance Authority (“ORSA”)

The ORSA Plan may be viewed on the SEC website at: http://www.sec.gov/rules/sro/nms/orsa.pdf. The amendment to the ORSA Plan may be viewed here.