SEC rule under the Securities Exchange Act of 1934
E464859
Regulation SCI is a U.S. Securities and Exchange Commission regulation that imposes technology, systems integrity, and cybersecurity requirements on key market participants to promote the stability and resilience of the securities markets.
All labels observed (1)
| Label | Occurrences |
|---|---|
| SEC rule under the Securities Exchange Act of 1934 canonical | 1 |
Statements (43)
| Predicate | Object |
|---|---|
| instanceOf |
U.S. SEC regulation
ⓘ
securities market regulation ⓘ |
| appliesTo |
certain alternative trading systems
ⓘ
certain exempt clearing agencies ⓘ entities whose systems are critical to the functioning of the securities markets ⓘ plan processors ⓘ self-regulatory organizations ⓘ |
| defines | SCI event ⓘ |
| enforcementBy | Division of Trading and Markets of the SEC NERFINISHED ⓘ |
| enforcementMechanism |
SEC enforcement actions
ⓘ
SEC examinations ⓘ |
| focusesOn | key market participants that provide critical market infrastructure ⓘ |
| fullName | Regulation Systems Compliance and Integrity NERFINISHED ⓘ |
| goal |
to mitigate the impact of technology failures on fair and orderly markets
ⓘ
to mitigate the impact of technology failures on investors ⓘ |
| includesConcept | SCI systems ⓘ |
| jurisdiction |
United States of America
ⓘ
surface form:
United States
|
| legalBasis | Securities Exchange Act of 1934 NERFINISHED ⓘ |
| objective |
to enhance market-wide operational resilience
ⓘ
to standardize minimum technology controls across key market participants ⓘ |
| obligation |
to maintain systems capacity reasonably designed to handle market stress
ⓘ
to maintain systems integrity and availability ⓘ to protect the confidentiality, integrity, and availability of critical systems and data ⓘ |
| purpose |
to improve the SEC’s oversight of critical market infrastructure
ⓘ
to promote the resilience of the securities markets ⓘ to promote the stability of the securities markets ⓘ to reduce the occurrence of systems issues in securities markets ⓘ |
| regulator | U.S. Securities and Exchange Commission NERFINISHED ⓘ |
| regulatoryCategory | technology and operational risk regulation ⓘ |
| relatedTo | market structure regulation under the Securities Exchange Act of 1934 ⓘ |
| requires |
annual review of compliance with Regulation SCI
ⓘ
monitoring of systems capacity and performance ⓘ notification to affected members or participants of certain systems issues ⓘ notification to the SEC of certain systems issues ⓘ periodic systems testing ⓘ policies and procedures for business continuity and disaster recovery ⓘ policies and procedures for capacity planning ⓘ policies and procedures for information security ⓘ policies and procedures for systems development and testing ⓘ remedial action to address systems disruptions and vulnerabilities ⓘ |
| subjectMatter |
cybersecurity
ⓘ
systems integrity ⓘ technology requirements for securities markets ⓘ |
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.