OMB control number

Regulation SCI and Form SCI

OMB 3235-0703 · SEC.

OMB 3235-0703

Regulation SCI would update and formalize a regulatory framework for ensuring that the U.S. securities trading markets develop and maintain systems with adequate capacity, integrity, resiliency, availability, and security, and reinforce the requirement that such systems operate in compliance with relevant laws and rules. Regulation SCI is intended to advance the goals of the national market system by enhancing the capacity, integrity, resiliency, availability, and security of the automated systems of entities important to the functioning of the U.S. securities markets, and reinforce the requirement that such systems operate in compliance with the Exchange Act and relevant rules. The Commission recently proposed to update the national market system for the collection, consolidation, and dissemination of information with respect to quotations for and transactions in national market system (“NMS”) stocks. Specifically, the Proposal would expand the content of the information with respect to quotations for and transactions in NMS stocks that must be made available under Regulation NMS and introduce a decentralized consolidation model whereby “competing consolidators” would assume responsibility for the collection, consolidation, and dissemination functions currently performed by the exclusive Securities Information Processors (“SIPs”). Among other things, the Proposal would expand the definition of “SCI entity” to include competing consolidators, so that all competing consolidators would be subject to Regulation SCI.

The latest form for Regulation SCI and Form SCI expires 2028-03-31 and is listed under ICR 202410-3235-003.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
Form Form SCI Form SCI	Form and Instruction
Form Form SCI IC19 - Material systems change notice required by Rule 1003(a)(2)	Form and Instruction
Form Form SCI Form SCI	Form and Instruction
Form Form SCI IC14 - SCI event notice required by Rule 1002(b)(5)	Form and Instruction
Form Form SCI Form SCI	Form and Instruction
Form Form SCI IC13 - SCI event notice required by Rule 1002(b)(4)	Form and Instruction
Form Form SCI Form SCI	Form and Instruction
Form Form SCI IC12 - SCI event notice required by Rule 1002(b)(3)	Form and Instruction
Form Form SCI Form SCI	Form and Instruction
Form Form SCI IC11 - SCI event notice required by Rule 1002(b)(2)	Form and Instruction
Form Form SCI Form SCI	Form and Instruction
Form Form SCI IC21 - SCI review required by Rule 1003(b)(3)	Form and Instruction
Form Form SCI Form SCI	Form and Instruction
Form Form SCI IC20 - SCI review required by Rule 1003(b)(1) and (b)(2)	Form and Instruction
Form Form SCI Form SCI	Form and Instruction
Form Form SCI IC18 - Material systems change notice required by Rule 1003(a)(1)	Form and Instruction
Form Form SCI Form SCI	Form and Instruction
Form Form SCI IC10 - SCI event notice required by Rule 1002(b)(1)	Form and Instruction
2024 12 30_89 FR 106704_3235-0703_30-Day Submission Notice.pdf.pdf	Supplementary Document
2024 12 30_89 FR 106704_3235-0703_30-Day Submission Notice.pdf.pdf	Supplementary Document
89 FR 84660 (OMB 3235-0703).pdf	Supplementary Document
89 FR 84660 (OMB 3235-0703).pdf	Supplementary Document
Reg. SCI and Form SCI Supporting Statement 2024.pdf	Supporting Statement A
Reg. SCI and Form SCI Supporting Statement 2024.pdf	Supporting Statement A
IC29 - Recordkeeping required by Rules 1005 and 1007 - ongoing burden	Information collection
IC27 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - ongoing burden	Information collection
IC25 - Corrective action required by Rule 1002(a) - ongoing burden	Information collection
IC23 - Access to EFFS - EAUF - existing entities	Information collection
IC19 - Material systems change notice required by Rule 1003(a)(2)	Form and Instruction
IC19 - Material systems change notice required by Rule 1003(a)(2)	Form and Instruction
IC17 - Dissemination of information required by Rule 1002(c)(2)	Information collection
IC16 - Dissemination of information required by Rule 1002(c)(1)(ii)	Information collection
IC14 - SCI event notice required by Rule 1002(b)(5)	Form and Instruction
IC14 - SCI event notice required by Rule 1002(b)(5)	Form and Instruction
IC13 - SCI event notice required by Rule 1002(b)(4)	Form and Instruction
IC13 - SCI event notice required by Rule 1002(b)(4)	Form and Instruction
IC12 - SCI event notice required by Rule 1002(b)(3)	Form and Instruction
IC12 - SCI event notice required by Rule 1002(b)(3)	Form and Instruction
IC11 - SCI event notice required by Rule 1002(b)(2)	Form and Instruction
IC11 - SCI event notice required by Rule 1002(b)(2)	Form and Instruction
IC9 - Mandate participation in certain testing for non-plan processors required by Rule 1004 - ongoing burden	Information collection
IC7 - Policies and procedures required by Rule 1001(c) - ongoing burden	Information collection
IC5 - Policies and procedures required by Rule 1001(b) -ongoing burden - SCI non-SROs	Information collection
IC4 - Policies and procedures required by Rule 1001(b) - ongoing burden - SCI SROs	Information collection
IC2 - Policies and procedures required by Rule 1001(a) - ongoing burden	Information collection
IC 31 - Access to EFFS - digital ID	Information collection
IC22 - Access to EFFS - EAUF - new entities	Information collection
IC6 - Policies and procedures required by Rule 1001(c) - initial burden	Information collection
IC28 - Recordkeeping required by Rules 1005 and 1007 - initial burden	Information collection
IC26 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - initial burden	Information collection
IC24 - Corrective action required by Rule 1002(a) - initial burden	Information collection
IC21 - SCI review required by Rule 1003(b)(3)	Form and Instruction
IC21 - SCI review required by Rule 1003(b)(3)	Form and Instruction
IC20 - SCI review required by Rule 1003(b)(1) and (b)(2)	Form and Instruction
IC20 - SCI review required by Rule 1003(b)(1) and (b)(2)	Form and Instruction
IC18 - Material systems change notice required by Rule 1003(a)(1)	Form and Instruction
IC18 - Material systems change notice required by Rule 1003(a)(1)	Form and Instruction
IC15 - Dissemination of information required by Rule 1002(c)(1)(i)	Information collection
IC10 - SCI event notice required by Rule 1002(b)(1)	Form and Instruction
IC10 - SCI event notice required by Rule 1002(b)(1)	Form and Instruction
IC30 - Mandate participation in certain testing for plan processors required by Rule 1004	Information collection
IC8 - Mandate participation in certain testing for non-plan processors required by Rule 1004 - initial burden	Information collection
IC3 - Policies and procedures required by Rule 1001(b) - initial burden	Information collection
IC1 - Policies and procedures required by Rule 1001(a) - initial burden	Information collection

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Action
202410-3235-003	Extension without change of a currently approved collection	2024-12-30
202309-3235-015	Revision of a currently approved collection	2023-12-07	Comment filed on proposed rule and continue
202308-3235-002	Revision of a currently approved collection	2023-08-04	Comment filed on proposed rule and continue
202111-3235-005	Extension without change of a currently approved collection	2022-01-20	Approved without change
202104-3235-009	Revision of a currently approved collection	2021-04-15	Approved without change
202006-3235-022	Revision of a currently approved collection	2020-07-15	Comment filed on proposed rule and continue
201807-3235-001	Extension without change of a currently approved collection	2018-09-26	Approved without change
201503-3235-004	New collection (Request for a new OMB Control Number)	2015-05-21	Approved without change
201306-3235-001	New collection (Request for a new OMB Control Number)	2013-06-10	Comment filed on proposed rule

OMB Details

IC1 - Policies and procedures required by Rule 1001(a) - initial burden

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight