United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2014_register executive 2014-12-05 article Part II Rules and Regulations D09002ee1c7f82d43 D09002ee1c7f82df7 United States Securities and Exchange Commission originator org United States Government Agency or Subagency 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. 79 FR 72252 https://www.govinfo.gov/app/details/FR-2014-12-05/2014-27767 2014-27767 fr05de14-13 RIN 3235-AL43 P Release No. 34-73639 File No. S7-01-13 https://www.govinfo.gov/app/details/FR-2014-12-05/2014-27767 https://www.govinfo.gov/content/pkg/FR-2014-12-05/html/2014-27767.htm https://www.govinfo.gov/content/pkg/FR-2014-12-05/pdf/2014-27767.pdf Brokers; Confidential Business Information; Reporting and Recordkeeping Requirements; and Securities 196 p. 72252 72447 79 FR 72252 Title 17 Part 240 17 CFR Part 240 Title 17 Part 242 17 CFR Part 242 Title 17 Part 249 17 CFR Part 249 RIN 3235-AL43 Regulation Systems Compliance and Integrity; Federal Register Vol. 79, Issue RULE 2014-27767 II SECURITIES AND EXCHANGE COMMISSION 2015-02-03 Release No. 34-73639 File No. S7-01-13 P 2014-27767 Final rule and form; final rule amendment; technical amendment.

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.

Effective date: February 3, 2015. David Liu, Senior Special Counsel, Office of Market Supervision, at (312) 353-6265, Heidi Pilpel, Senior Special Counsel, Office of Market Supervision, at (202) 551-5666, Sara Hawkins, Special Counsel, Office of Market Supervision, at (202) 551- 5523, Yue Ding, Special Counsel, Office of Market Supervision, at (202) 551-5842, David Garcia, Special Counsel, Office of Market Supervision, at (202) 551-5681, and Elizabeth C. Badawy, Senior Accountant, Office of Market Supervision, at (202) 551-5612, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-7010. Brokers; Confidential Business Information; Reporting and Recordkeeping Requirements; and Securities Regulation Systems Compliance and Integrity , CNBC.com http://ir.nasdaqomx.com/releasedetail.cfm?ReleaseID=788700 http://markets.nyx.com/nyse/market-status/view/11558 http://sec.gov/rules/other/34-16900.pdf http://www.batstrading.com/market_summary/ http://www.cboe.com/aboutcboe/systemstatus/search.aspx http://www.cboe.com/publish/InfoCir/IC13-036.pdf http://www.cnbc.com/id/100986999 http://www.finra.org/web/groups/industry/@ip/@comp/@mt/documents/upcnotices/p381590.pdf http://www.finra.org/web/groups/industry/@ip/@comp/@mt/documents/upcnotices/p381593.pdf http://www.nasdaqomx.com/newsroom/pressreleases/pressrelease?messageId=1204807&displayLanguage=en http://www.nyxdata.com/cta http://www.opradata.com/pdf/opra_plan.pdf http://www.opradata.com/specs/16-sept-2013-opra-outage.pdf http://www.otcmarkets.com/stock/OTCM/news/OTC-Markets-Group-Issues-Statement-on-OTC-Linkreg-ATS-Trading-on-November-7-2013?id=71144 http://www.reginfo.gov http://www.sec.gov/about/reports/secfy15congbudgjust.pdf http://www.sec.gov/comments/s7-01-13/s70113.shtml http://www.sec.gov/divisions/corpfin/guidance/cfguidance-topic2.htm http://www.sec.gov/divisions/marketreg/sroautomation.shtml http://www.sec.gov/litigation/admin/2013/34-69655.pdf http://www.sec.gov/litigation/admin/2013/34-69726.pdf http://www.sec.gov/litigation/admin/2014/34-72065.pdf http://www.sec.gov/marketstructure/research/alternative-trading-systems-march-2014.pdf http://www.sec.gov/marketstructure/research/otc_trading_march_2014.pdf http://www.sec.gov/news/otherwebcasts/2012/ttr100212-transcript.pdf http://www.sec.gov/news/otherwebcasts/2014/cybersecurity-roundtable-032614.shtml http://www.sec.gov/news/studies/2012/munireport073112.pdf http://www.sifma.org/services/bcp/industry-testing/ http://www.utpplan.com http://www.utpplan.com/ http://www1.nyse.com/pdfs/2014_04_29_NYSE_Amex_and_Arca_Options_Erroneous_Complex_Order_Executions.pdf https://markets.nyx.com/nyse/market-status/view/13465 https://markets.nyx.com/nyse/market-status/view/13467 https://www.nasdaqtrader.com/Trader.aspx?id=MarketSystemStatusSearch www.fsisac.com www.sec.gov www.sec.gov/news/otherwebcasts/2012/ttr100212.shtml Vol. 79, no. 234 Office of the Federal Register, National Archives and Records Administration 2014-12-05 continuing daily deposited born digital 439 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2014-12-05 P0b002ee18a625560 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr05de14 https://www.govinfo.gov/app/details/FR-2014-12-05 https://www.govinfo.gov/content/pkg/FR-2014-12-05/pdf/FR-2014-12-05.pdf https://www.govinfo.gov/content/pkg/FR-2014-12-05/xml/FR-2014-12-05.xml fdlp 72107 72538 DGPO 2014-12-05 2024-06-02 FR-2014-12-05 machine generated eng FR FR-2014-12-05 79 234