Securities and Exchange Commission March 25, 2013 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meetings
Document Number: 2013-06928
Type: Notice
Date: 2013-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Regulation Systems Compliance and Integrity
Document Number: 2013-05888
Type: Proposed Rule
Date: 2013-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing 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. Proposed Regulation SCI would apply to certain self-regulatory organizations (including registered clearing agencies), alternative trading systems (``ATSs''), plan processors, and exempt clearing agencies subject to the Commission's Automation Review Policy (collectively, ``SCI entities''), and would require these SCI entities to comply with requirements with respect to their automated systems that support the performance of their regulated activities.