Regulation SCI

Overview

Regulation Systems, Compliance and Integrity ("Regulation SCI") is intended to require the various securities SROs and alternative trading systems to strengthen and make more resilient their technology so as to prevent disruptions to the trading markets. Entities subject to the Regulation must, among other things, (i) develop written policies as to the capacity and resilience of their systems, (ii) take prompt corrective actions as to technological bad events, (iii) notify the SEC of such bad events, (iv) conduct periodic reviews of their technology, and (v) have in place back-up systems and business continuity plans. See also the topic page on the Market Access Rule, SEA Rule 15c3-5.

Steven.Lofchie@cwt.com's picture
Contributor Organization 
Contributor Title 
Partner
Patrick.Calves@cwt.com's picture
Contributor Organization 
Contributor Title 
Associate

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Regulation SCI and Form SCI