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Federal Register / Vol. 86, No. 226 / Monday, November 29, 2021 / Notices
b Counterparts. This CTA Plan may be executed by the Participants in any number of counterparts, no one of which need contain all of the signatures of all Participants, and as many of such counterparts as shall together contain all of such signatures shall constitute one and the same instrument.
c Governing law. This CTA Plan shall be governed by, and interpreted in accordance with, the laws of the State of New York.
d Effective dates. This CTA Plan, and any contracts and resolutions made pursuant thereto, shall be effective as to any Participant when such plan has been approved by the Board of Directors of such Participant, executed on its behalf and approved by the SEC, and such Participant has commenced furnishing last sale price information pursuant thereto.
e Section headings. The headings used in this CTA Plan are intended for reference only. They are not intended and shall not be construed to be a substantive part of this CTA Plan.
ATTACHMENT B
PROPOSED CHANGES TO THE CQ
PLAN Additions are italicized;
Deletions are in brackets RESTATED PLAN
SUBMITTED TO
THE SECURITIES AND EXCHANGE
COMMISSION
PURSUANT TO RULE 11Aac1 UNDER

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THE SECURITIES EXCHANGE ACT OF
1934
The undersigned hereby submit to the Securities and Exchange Commission the SEC the following amendment to and restatement of the CQ Plan, that is, the plan 1 that certain of the Participants filed for the dissemination on a current and continuous basis of bid and asked quotations and quotation sizes in Eligible Securities and related information and 2 that the SEC
declared effective as of July 28, 1978, pursuant to Section 11Aa3B of the Securities Exchange Act of 1934, as amended. Terms used in this plan have the same meaning as the terms defined in Rule 600b under the Act.
I. Definitions a Act means the Securities Exchange Act of 1934, as from time to time amended.
b Consolidated BBO means with respect to each Eligible Security:
i The highest bid and the lowest offer then being furnished to the Processor by any Participant hereunder;
ii If the Processor is in receipt of two or more bids or offers that meet the
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applicable criterion of clause i, the bid or offer as the case may be between or among them with which the largest size is associated; or iii If the Processor is in receipt of two or more bids or offers that meet the applicable criteria of both clause i and clause ii, the bid or offer as the case may be between or among them received by the Processor first in time.
Consolidated BBO excludes any bid or offer made available by a Participant that is an exchange during any period after such Participant has given to the Processor a notice of determination described in the first sentence of Section VIe hereof and before such Participant has given to the Processor a subsequent advice described in the third sentence of Section VIe. For the purpose of the preceding clause iii, a bid or offer with respect to which a change in the associated size occurs shall be deemed to be received at the time of such change.
c Consolidated Tape Association CTA has the meaning assigned to that term in the CTA Plan.
d CQ Network A refers to the System as utilized to make available CQ Network A quotation information that is, quotation information with respect to Network A Eligible Securities as the CTA Plan defines that term.
e CQ Network B refers to the System as utilized to make available CQ Network B quotation information that is, quotation information with respect to Network B Eligible Securities as the CTA Plan defines that term.
f CQ Plan means the plan set forth in this instrument as from time to time amended in accordance with the provisions hereof.
g A CQ Networks quotation information means either CQ Network A quotation information or CQ Network B quotation information.
h A CQ networks Participants means either the Participants that report CQ Network A quotation information the Network A Participants or the Participants that report CQ Network B
quotation information the Network B
Participants.
i CTA Plan means the plan filed with the SEC in accordance with a predecessor to Rule 608 of Regulation NMS under the Act, as approved by the SEC and declared effective as of May 17, 1974, and as from time to time amended in accordance with the provisions thereof.
j Eligible Security has the meaning assigned to that term in the CTA Plan.

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k Exchange means a securities exchange that is registered as a national securities exchange under section 6 of the Act.
l High speed line means the high speed data transmission facility in its employment as a vehicle for making available quotation information to vendors and other persons on a current basis, as described in Section VIc hereof.
m Interrogation device means any terminal or other device, including, without limitation, any computer, data processing equipment, communications equipment, cathode ray tube, monitor or audio voice response equipment, technically enabled to display, transmit or otherwise communicate, upon inquiry, quotation information in visual, audible or other comprehensible form.
n Interrogation service means any service that permits securities information retrieval by means of an interrogation device.
o ITS/CAES BBO has the meaning assigned to that term in the ITS Plan as approved by the SEC and declared effective as of May 17, 1982, and as from time to time amended.
p Listed equity security means any equity security that is registered for trading on an exchange Participant.
q Make available has the meaning assigned to that term in paragraph a of the Rule, but when the term is used to describe action to be taken by the Processor, it means such action is taken on behalf of, and as agent for, the Participants furnishing the quotation information that is the subject of such action.
r Networks administrator means a with respect to CQ Network A, NYSE
and b with respect to CQ Network B, AMEX or, as to those CQ Network B
functions that NYSE performs in place of AMEX pursuant to Section VIIf, NYSE.
s Operating Committee means the committee of representatives of the Participants described in Section IV
hereof.
t Participant means a party to this CQ Plan with respect to which such plan has become effective pursuant to Section XId hereof.
u Person means a natural person or proprietorship, or a corporation, partnership or other organization.
v Primary Listing Exchange means the national securities exchange on which an Eligible Security is listed. If an Eligible Security is listed on more than one national securities exchange, Primary Listing Exchange means the exchange on which the security has been listed the longest.

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