Regulation Systems Compliance and Integrity (SCI) was effective as of November 3, 2015. It has far reaching implications for “SCI entities”, which as currently defined, include:

  • Exchanges and other Self Regulatory Organizations
  • Alternative trading systems (above the volume threshold)
  • Plan processors
  • Clearing agencies

Regulation SCI added a new set of standards and business continuity testing around policies, procedures, and technology. Leverage Jordan & Jordan’s years of experience working with firms that have been impacted by SCI—SROs, FINRA, ATSs—to help you create an executable roadmap to comply with Reg SCI in a cost effective manner.  We can provide a thorough assessment of your procedures, processes and controls in compliance with Rule 1003(b) of Regulation SCI.  

Through our affiliation with various industry organizations and our decades of experience implementing capital markets compliance solutions, Jordan & Jordan is uniquely situated to guide your firm through the evolving regulatory landscape.