Reports/Studies

Annual Report

Pursuant to Appendix B, Section II of the Plan, the Participants are required to provide to the Commission and make publicly available a report containing key information concerning the Plan’s performance during the preceding calendar year. The LULD Operating Committee submitted the first such report on March 31, 2020.

2019 Annual Report, dated March 31, 2020.

Quarterly Monitoring Reports

Pursuant to Appendix B, Section II of the Plan, the Participants are required to provide to the Commission and make publicly available a report including basic statistics regarding the Plan’s operation during the preceding calendar quarter.

Monitoring Report Q1 2020

Q1 2020 CEE Report

Q1 2020 LULD Quarterly Report

Monitoring Report Q4 2019

Q4 2019 CEE Report

Q4 2019 LULD Quarterly Report

Participant Assessment of the LULD Plan

Pursuant to Appendix B, Section III of the Plan, the Participants are required to provide to the Commission assessment of the impact of the Plan and calibration of the percentage parameters or each of the tiers of NMS stocks covered by the Plan. The LULD Operating Committee submitted the initial Participant Impact Assessment in September 29, 2014. The Supplemental Joint Assessment, dated May 28, 2015, was prepared on behalf of the Operating Committee by Professor James Angel of Georgetown University.

Supplemental Joint Assessment, dated May 28, 2015.

Participants Impact Assessment, dated September 29, 2014