Reg SCI expansion set to increase broker-dealer systems scrutiny, reporting

The SEC is preparing to drastically expand the scope of Regulation SCI, which covers IT systems critical to the smooth functioning of the markets. But in the absence of formal proposals so far from the regulator, how can affected firms prepare for new compliance requirements?


The US Securities and Exchange Commission (SEC) is said to have begun drafting proposals for an expansion of Regulation Systems Compliance and Integrity (Reg SCI)—which governs the resilience of critical parts of the US financial markets infrastructure—to protect against systems failures and cyber threats among financial firms, and to provide regulators with insights into systems failures that could impact US markets overall.

Reg SCI was introduced in 2014 to protect the systems operating core

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