Tag: Regulation SCI

Investment Advisor custody rule
Compliance

SEC Proposes to Expand and Update Regulation SCI

The Securities and Exchange Commission today proposed amendments to expand and update Regulation Systems Compliance and Integrity (SCI), the set of rules adopted in 2014 to help address technological vulnerabilities in the U.S. securities markets and improve Commission oversight of the core technology of key U.S. securities markets entities (SCI […]