Final rule and form; final rule amendment; technical amendment.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2014-12-05
Effective date
2015-02-03
Docket
Release No. 34-73639
Abstract
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.