Regulation Systems Compliance and Integrity

SUMMARY

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.

 
CONTENT

Federal Register, Volume 79 Issue 234 (Friday, December 5, 2014)

Federal Register Volume 79, Number 234 (Friday, December 5, 2014)

Rules and Regulations

Pages 72251-72447

From the Federal Register Online via the Government Printing Office www.gpo.gov

FR Doc No: 2014-27767

Page 72251

Vol. 79

Friday,

No. 234

December 5, 2014

Part II

Securities and Exchange Commission

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17 CFR Parts 240, 242, and 249

Regulation Systems Compliance and Integrity; Final Rule