Statute
Regulation SCI
14 published works
Data Counsel
SEC Adopts Rules to Improve Systems Compliance and Integrity
On November 19, 2014, the Securities and Exchange Commission (SEC) unanimously voted to adopt Regulation Systems Compliance and Integrity (Reg SCI), which will govern the technology infrastructure of the U.S.’s…
Banking, Finance and Securities
SEC adopts rules designed to improve systems compliance and integrity
On November 19, 2014, the SEC adopted Regulation SCI – Regulation Systems Compliance and Integrity, to require: national securities exchanges alternative trading systems that exceed defined volume thresholds (but excluding…
Corporate & Financial Weekly Digest
SEC Adopts Regulation Systems Compliance and Integrity Rules
By James Van De Graaff, Timothy D. Kertland
On November 19, the Securities and Exchange Commission adopted new Regulation Systems Compliance and Integrity (Regulation SCI), a set of rules designed to strengthen the technology infrastructure of the US…
Securities Law Prof Blog
SEC Proposes Rules to Improve Systems Compliance and Integrity
The SEC unanimously proposed new rules to require certain key market participants to have comprehensive policies and procedures in place surrounding their technological systems. The SEC’s proposed Regulation SCI would replace voluntary compliance…