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

All Historical Document Collections

202410-3235-003	Extension without change of a currently approved collection	2024-12-30
202309-3235-015 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-12-07
202308-3235-002 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-08-04
202111-3235-005 Approved without change	Extension without change of a currently approved collection	2022-01-20
202104-3235-009 Approved without change	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