Final Rule
Regulation Systems Compliance and Integrity
Overview
The Securities and Exchange Commission ("Commission') is adopting new Regulation Systems Compliance and Integrity ("Regulation SCI') under the Securities Exchange Act of 1934 ("Exchange Act') and conforming amendments to Regulation ATS under the Exchange Act. Regulation SCI will apply to certain self-regulatory organizations (including registered clearing agencies), alternative trading systems ("ATSs'), plan processors, and exempt clearing agencies (collectively, "SCI entities'), and will require these SCI entities to comply with requirements with respect to the automated systems central to the performance of their regulated activities.
Prior Actions
Final Rule (34-73639)
Release Number
34-73639
34-69606
SEC Issue Date
Nov. 19, 2014
Federal Register Publish Date
Dec. 5, 2014
Document Citation
79 FR 72251
RIN
3235-AL43
Proposed Rule (34-69077)
Release Number
34-69077
SEC Issue Date
March 8, 2013
Federal Register Publish Date
March 25, 2013
Document Citation
78 FR 18083
RIN
3235-AL43
Proposed Rule (34-69606)
Release Number
34-69606
SEC Issue Date
May 20, 2013
Federal Register Publish Date
May 23, 2013
Document Citation
78 FR 30803
RIN
3235-AL43
Resources
Details
File Number
S7-01-13
Rule Type
Final
Release Number
34-73639A
SEC Issue Date
Dec. 22, 2015
Effective Date
December 30, 2015
Federal Register Publish Date
Dec. 30, 2015
Document Citation
80 FR 81454
RIN
3235-AL43