Systems Compliance and Integrity

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. Regulations M, SHO, ATS, AC, NMS, and SBSR and Customer Margin Requirements for Security Futures
  6. Systems Compliance and Integrity

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Section
242.1000

Definitions.

Section
242.1001

Obligations related to policies and procedures of SCI entities.

Section
242.1002

Obligations related to SCI events.

Section
242.1003

Obligations related to systems changes; SCI review.

Section
242.1004

SCI entity business continuity and disaster recovery plans testing requirements for members or participants.

Section
242.1005

Recordkeeping requirements related to compliance with Regulation SCI.

Section
242.1006

Electronic filing and submission.

Section
242.1007

Requirements for service bureaus.