Detailed rules will become effective February 2015, with compliance required by November 2015. On November 19, 2014, the Securities and Exchange Commission (the Commission) adopted new rules for technology...more
The SEC today published in the Federal Register its Regulation SCI (Regulation Systems Compliance and Integrity), which requires key market participants to have and implement written policies and procedures reasonably...more
On November 19, 2014, the U.S. Securities and Exchange Commission (SEC) unanimously adopted Regulation Systems Compliance and Integrity (Regulation SCI) under the Securities Exchange Act of 1934 (Exchange Act). Regulation SCI...more
On November 19, 2014, the Securities and Exchange Commission (SEC) approved the adoption of Regulation Systems Compliance and Integrity (Reg SCI) under the Securities Exchange Act of 1934, as amended (Exchange Act). Reg SCI...more
On November 19, the Securities and Exchange Commission adopted new Regulation Systems Compliance and Integrity (Regulation SCI), a set of rules designed to strengthen the technology infrastructure of the US securities markets...more