• Regulation SCI: Final Rules Relating to the Technology Infrastructure of U.S. Securities Markets: New, Mandatory Regulatory Framework for the Technological Systems of Exchanges, Certain Alternative Trading Systems, Plan Processors and Exempt Clearing Agencies
  • April 20, 2015 | Authors: David J. Gilberg; David B. Harms; Erik D. Lindauer; Kenneth M. Raisler; Robert W. Reeder
  • Law Firm: Sullivan & Cromwell LLP - New York Office
  • On November 19, 2014, the SEC adopted new rules to improve the technological infrastructure of securities markets. Regulation Systems Compliance and Integrity (“Regulation SCI”) will apply to a range of market participants, including certain self-regulatory organizations and alternative trading systems.