Regulation SCI
E104509
Regulation SCI is a U.S. Securities and Exchange Commission rule framework that imposes technology, operational resilience, and cybersecurity standards on key securities market participants and their critical systems.
All labels observed (2)
| Label | Occurrences |
|---|---|
| Regulation SCI canonical | 1 |
| SEC rules | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T858541 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Regulation SCI Context triple: [NYSE National, subjectTo, Regulation SCI]
-
A.
Regulation NMS
Regulation NMS is a set of U.S. Securities and Exchange Commission rules designed to modernize and strengthen the national market system for equity trading, emphasizing fair access, price transparency, and best execution across exchanges.
-
B.
National Securities Markets Improvement Act of 1996
The National Securities Markets Improvement Act of 1996 is a U.S. federal law that reallocated regulatory authority between federal and state securities regulators to streamline oversight of investment advisers and securities offerings.
-
C.
Regulation S
Regulation S is a U.S. Securities and Exchange Commission rule that provides a safe harbor exemption for offers and sales of securities made outside the United States, allowing issuers to avoid registering those offerings under the Securities Act of 1933.
-
D.
Regulation T
Regulation T is a Federal Reserve Board rule that governs the extension of credit by securities brokers and dealers, including margin requirements for purchasing securities.
-
E.
Regulation D
Regulation D is a Federal Reserve Board rule that governs reserve requirements for depository institutions and defines certain types of bank accounts and transaction limits in the U.S. banking system.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Regulation SCI Target entity description: Regulation SCI is a U.S. Securities and Exchange Commission rule framework that imposes technology, operational resilience, and cybersecurity standards on key securities market participants and their critical systems.
-
A.
Regulation NMS
Regulation NMS is a set of U.S. Securities and Exchange Commission rules designed to modernize and strengthen the national market system for equity trading, emphasizing fair access, price transparency, and best execution across exchanges.
-
B.
National Securities Markets Improvement Act of 1996
The National Securities Markets Improvement Act of 1996 is a U.S. federal law that reallocated regulatory authority between federal and state securities regulators to streamline oversight of investment advisers and securities offerings.
-
C.
Regulation S
Regulation S is a U.S. Securities and Exchange Commission rule that provides a safe harbor exemption for offers and sales of securities made outside the United States, allowing issuers to avoid registering those offerings under the Securities Act of 1933.
-
D.
Regulation T
Regulation T is a Federal Reserve Board rule that governs the extension of credit by securities brokers and dealers, including margin requirements for purchasing securities.
-
E.
Regulation D
Regulation D is a Federal Reserve Board rule that governs reserve requirements for depository institutions and defines certain types of bank accounts and transaction limits in the U.S. banking system.
- F. None of above. chosen
Statements (48)
| Predicate | Object |
|---|---|
| instanceOf |
SEC rule framework
ⓘ
United States securities regulation ⓘ |
| addresses |
cybersecurity incidents
ⓘ
operational incidents in trading and market infrastructure ⓘ systems availability risks ⓘ systems capacity constraints ⓘ systems integrity risks ⓘ systems security risks ⓘ |
| appliesTo |
SCI entities
ⓘ
certain alternative trading systems ⓘ certain exempt clearing agencies ⓘ plan processors ⓘ self-regulatory organizations ⓘ |
| covers |
SCI systems
ⓘ
indirect SCI systems ⓘ |
| enforcedBy | Division of Trading and Markets of the SEC ⓘ |
| focusesOn |
cybersecurity standards
ⓘ
operational resilience ⓘ technology standards ⓘ |
| jurisdiction |
United States of America
ⓘ
surface form:
United States
|
| legalForm | SEC rule under the Securities Exchange Act of 1934 ⓘ |
| objective |
to enhance investor protection
ⓘ
to improve resilience to cyber threats ⓘ to promote fair and orderly markets ⓘ to reduce the occurrence of systems disruptions ⓘ to strengthen the technology infrastructure of U.S. securities markets ⓘ |
| regulator |
Securities and Exchange Commission
ⓘ
surface form:
U.S. Securities and Exchange Commission
|
| relatedTo |
market structure regulation
ⓘ
operational risk management in financial markets ⓘ |
| requires |
annual review of compliance
ⓘ
business continuity planning ⓘ capacity planning ⓘ disaster recovery planning ⓘ governance and oversight of critical systems ⓘ monitoring of systems performance ⓘ notification to members or participants of certain systems issues ⓘ notification to the SEC of systems issues ⓘ periodic systems testing ⓘ policies and procedures for systems availability ⓘ policies and procedures for systems capacity ⓘ policies and procedures for systems compliance ⓘ policies and procedures for systems integrity ⓘ policies and procedures for systems security ⓘ remedial action for systems compliance issues ⓘ remedial action for systems disruptions ⓘ remedial action for systems intrusions ⓘ senior management involvement in oversight ⓘ |
| sector | securities markets infrastructure ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Regulation SCI Description of subject: Regulation SCI is a U.S. Securities and Exchange Commission rule framework that imposes technology, operational resilience, and cybersecurity standards on key securities market participants and their critical systems.
Referenced by (2)
Full triples — surface form annotated when it differs from this entity's canonical label.
this entity surface form:
SEC rules