Regulation SCI Compliance

Regulation Systems Compliance and Integrity (SCI) was approved on November 19, 2014 with a compliance date of November 3, 2015. It has far reaching implications for “SCI entities”, which as currently defined, includes:

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

Regulation SCI adds a new set of standards and business continuity testing around policies, procedures, and technology. While the rules have been finalized, the cost of SCI entities to implement them is still unknown. Leverage Jordan & Jordan’s years of experience working with firms that are being impacted by SCI—SROs, FINRA, ATSs—to help you create an executable roadmap to comply with Reg SCI in a cost effective manner.

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.