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LIMITED LIABILITY COMPANY AGREEMENT of CONSOLIDATED AUDIT TRAIL, LLC a Delaware Limited Liability Company

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LIMITED LIABILITY COMPANY AGREEMENT of CONSOLIDATED AUDIT TRAIL, LLC a Delaware Limited Liability Company LIMITED LIABILITY COMPANY AGREEMENT OF CONSOLIDATED AUDIT TRAIL, LLC a Delaware Limited Liability Company Table of Contents Page ARTICLE I DEFINITIONS ............................................................................................................1 Section 1.1. Definitions....................................................................................................1 Section 1.2. Principles of Interpretation ........................................................................12 ARTICLE II EFFECTIVENESS OF AGREEMENT; ORGANIZATION ...................................13 Section 2.1. Effectiveness ..............................................................................................13 Section 2.2. Formation ...................................................................................................14 Section 2.3. Name ..........................................................................................................14 Section 2.4. Registered Office; Registered Agent; Principal Office; Other Offices ........................................................................................................14 Section 2.5. Certain Filings ............................................................................................14 Section 2.6. Purposes and Powers..................................................................................14 Section 2.7. Term ...........................................................................................................14 ARTICLE III PARTICIPATION ..................................................................................................15 Section 3.1. Participants .................................................................................................15 Section 3.2. Company Interests Generally .....................................................................15 Section 3.3. New Participants ........................................................................................15 Section 3.4. Transfer of Company Interest ....................................................................16 Section 3.5. Admission of New Participants .................................................................17 Section 3.6. Voluntary Resignation from Participation .................................................18 Section 3.7. Termination of Participation ......................................................................18 Section 3.8. Obligations and Liability of Participants ...................................................19 Section 3.9. Loans ..........................................................................................................19 Section 3.10. No Partnership ...........................................................................................19 Section 3.11. Compliance Undertaking ...........................................................................19 ARTICLE IV MANAGEMENT OF THE COMPANY ................................................................20 Section 4.1. Operating Committee .................................................................................20 Section 4.2. Composition and Selection of Operating Committee; Chair .....................21 Section 4.3. Action of Operating Committee.................................................................21 Section 4.4. Meetings of the Operating Committee .......................................................23 Section 4.5. Interpretation of Other Regulations ...........................................................25 Section 4.6. Officers of the Company ............................................................................25 - i - Section 4.7. Interpretation of Certain Rights and Duties of Participants, Members of the Operating Committee and Officers..................................26 Section 4.8. Exculpation and Indemnification ...............................................................27 Section 4.9. Freedom of Action .....................................................................................28 Section 4.10. Arrangements with Participants and Members of the Operating Committee ..................................................................................................29 Section 4.11. Participant Action Without a Meeting .......................................................29 Section 4.12. Subcommittees ...........................................................................................29 Section 4.13. Advisory Committee ..................................................................................30 ARTICLE V INITIAL PLAN PROCESSOR SELECTION .........................................................32 Section 5.1. Selection Committee ..................................................................................32 Section 5.2. Bid Evaluation and Initial Plan Processor Selection..................................34 ARTICLE VI FUNCTIONS AND ACTIVITIES OF CAT SYSTEM .........................................39 Section 6.1. Plan Processor ............................................................................................39 Section 6.2. Chief Compliance Officer and Chief Information Security Officer ..........43 Section 6.3. Data Recording and Reporting by Participants ..........................................48 Section 6.4. Data Reporting and Recording by Industry Members ...............................51 Section 6.5. Central Repository .....................................................................................54 Section 6.6. Written Assessments, Audits and Reports .................................................58 Section 6.7. Implementation ..........................................................................................62 Section 6.8. Timestamps and Synchronization of Business Clocks ..............................62 Section 6.9. Technical Specifications ............................................................................64 Section 6.10. Surveillance................................................................................................66 Section 6.11. Debt Securities and Primary Market Transactions ....................................67 Section 6.12. Information Security Program ...................................................................67 ARTICLE VII INTENTIONALLY OMITTED ............................................................................67 ARTICLE VIII TAX STATUS .....................................................................................................67 ARTICLE IX RECORDS AND ACCOUNTING; REPORTS .....................................................67 Section 9.1. Books and Records ....................................................................................67 Section 9.2. Accounting .................................................................................................68 Section 9.3. Tax Returns ................................................................................................68 Section 9.4. Company Funds .........................................................................................68 Section 9.5. Intentionally Omitted .................................................................................68 Section 9.6. Confidentiality ...........................................................................................68 - ii - ARTICLE X DISSOLUTION AND TERMINATION .................................................................70 Section 10.1. Dissolution of Company ............................................................................70 Section 10.2. Liquidation and Distribution ......................................................................70 Section 10.3. Termination ................................................................................................70 ARTICLE XI FUNDING OF THE COMPANY ..........................................................................70 Section 11.1. Funding Authority ......................................................................................70 Section 11.2. Funding Principles .....................................................................................71 Section 11.3. Recovery ....................................................................................................72 Section 11.4. Collection of Fees ......................................................................................73 Section 11.5. Fee Disputes ...............................................................................................73 Section 11.6. Funding Incentives for Post-Amendment Expenses ..................................73 ARTICLE XII MISCELLANEOUS ..............................................................................................75 Section 12.1. Notices and Addresses ...............................................................................75 Section 12.2. Governing Law; Submission to Jurisdiction ..............................................75 Section 12.3. Amendments ..............................................................................................76 Section 12.4. Successors and Assigns..............................................................................76 Section 12.5. Counterparts ...............................................................................................76 Section 12.6. Modifications to be in Writing; Waivers ...................................................76 Section 12.7. Captions .....................................................................................................77
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