Regulation SCI and Form SCI

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.

The latest form for Regulation SCI and Form SCI expires 2022-02-28 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form Form SCI Material systems change notice required by Rule 1003(a)(2) Form and Instruction
Form Form SCI SCI event notice required by Rule 1002(b)(5) Form and Instruction
Form Form SCI SCI event notice required by Rule 1002(b)(4) Form and Instruction
Form Form SCI SCI event notice required by Rule 1002(b)(3) Form and Instruction
Form Form SCI SCI event notice required by Rule 1002(b)(2) Form and Instruction
Form Form SCI SCI review required by Rule 1003(b)(3) Form and Instruction
Form Form SCI SCI review required by Rule 1003(b)(1) and (b)(2) Form and Instruction
Form Form SCI Material systems change notice required by Rule 1003(a)(1) Form and Instruction
Form Form SCI SCI event notice required by Rule 1002(b)(1) Form and Instruction
3235-0703 (Reg. SCI and Form SCI) Supporting Statement Final Rule April 2021.pdf Supporting Statement A
Form SCI.pdf Supplementary Document
Recordkeeping required by Rules 1005 and 1007 - ongoing burden
Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - ongoing burden
Corrective action required by Rule 1002(a) - ongoing burden
Access to EFFS - EAUF - existing entities
Material systems change notice required by Rule 1003(a)(2) Form and Instruction
Dissemination of information required by Rule 1002(c)(2)
Dissemination of information required by Rule 1002(c)(1)(ii)
SCI event notice required by Rule 1002(b)(5) Form and Instruction
SCI event notice required by Rule 1002(b)(4) Form and Instruction
SCI event notice required by Rule 1002(b)(3) Form and Instruction
SCI event notice required by Rule 1002(b)(2) Form and Instruction
Mandate participation in certain testing for non-plan processors required by Rule 1004 - ongoing burden
Policies and procedures required by Rule 1001(c) - ongoing burden
Policies and procedures required by Rule 1001(b) -ongoing burden - SCI non-SROs
Policies and procedures required by Rule 1001(b) - ongoing burden - SCI SROs
Policies and procedures required by Rule 1001(a) - ongoing burden
Access to EFFS - digital ID
Access to EFFS - EAUF - new entities
Policies and procedures required by Rule 1001(c) - initial burden
Recordkeeping required by Rules 1005 and 1007 - initial burden
Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - initial burden
Corrective action required by Rule 1002(a) - initial burden
SCI review required by Rule 1003(b)(3) Form and Instruction
SCI review required by Rule 1003(b)(1) and (b)(2) Form and Instruction
Material systems change notice required by Rule 1003(a)(1) Form and Instruction
Dissemination of information required by Rule 1002(c)(1)(i)
SCI event notice required by Rule 1002(b)(1) Form and Instruction
Mandate participation in certain testing for plan processors required by Rule 1004
Mandate participation in certain testing for non-plan processors required by Rule 1004 - initial burden
Policies and procedures required by Rule 1001(b) - initial burden
Policies and procedures required by Rule 1001(a) - initial burden

All Historical Document Collections

202104-3235-009	Revision of a currently approved collection	2021-04-15
202006-3235-022 Comment filed on proposed rule and continue	Revision of a currently approved collection	2020-07-15
201807-3235-001 Approved without change	Extension without change of a currently approved collection	2018-09-26
201503-3235-004 Approved without change	New collection (Request for a new OMB Control Number)	2015-05-21
201306-3235-001 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2013-06-10

OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight