Regulation Systems Compliance and Integrity

Document Headings Document headings vary by document type but may contain the following: the agency or agencies that issued and signed a document the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to the agency docket number / agency internal file number the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions See the Document Drafting Handbook for more details. Securities and Exchange Commission 17 CFR Parts 240, 242, and 249 [Release No. 34-73639; File No. S7-01-13] RIN 3235-AL43 AGENCY: Securities and Exchange Commission. ACTION: Final rule and form; final rule amendment; technical amendment. 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. DATES: Effective date: February 3, 2015. Compliance date: The applicable compliance dates are discussed in Section IV.F of this release. FOR FURTHER INFORMATION CONTACT: 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 Sup…