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) - New SCI Entities Form and Instruction
Form Form SCI IC14 - SCI event notice required by Rule 1002(b)(5) - New SCI Entities Form and Instruction
Form Form SCI IC13 - SCI event notice required by Rule 1002(b)(4) - New SCI Entities Form and Instruction
Form Form SCI IC12 - SCI event notice required by Rule 1002(b)(3) - New SCI Entities Form and Instruction
Form Form SCI IC11 - SCI event notice required by Rule 1002(b)(2) - New SCI Entities Form and Instruction
Form Form SCI IC21 - SCI review required by Rule 1003(b)(3) - New SCI Entities Form and Instruction
Form Form SCI IC20 - SCI review required by Rule 1003(b)(1) and (b)(2) - New SCI Entities Form and Instruction
Form Form SCI IC18 - Material systems change notice required by Rule 1003(a)(1) - New SCI Entities Form and Instruction
Form Form SCI IC10 - SCI event notice required by Rule 1002(b)(1) - New SCI Entities Form and Instruction
3235-0703 Supporting Statement (CC proposal).pdf Supporting Statement A
Form SCI.pdf Supplementary Document
IC 29.2 - Recordkeeping required by Rules 1005 and 1007 - ongoing burden - Competing Consolidators
IC 29.1 - Recordkeeping required by Rules 1005 and 1007 - ongoing burden - Current SCI Entities
IC 28.1 - Recordkeeping required by Rules 1005 and 1007 - initial burden - Competing Consolidators
IC 27.2 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - ongoing burden Competing Considators
IC 27.1 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - ongoing burden - Current SCI Entities
IC 26.2 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - initial burden - Competing Consolidators
IC 26.1 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - initial burden - Current SCI Entities
IC 25.2 - Corrective action required by Rule 1002(a) - ongoing burden - Competing Consolidators
IC 25.1 - Corrective action required by Rule 1002(a) - ongoing burden - Current SCI Entities
IC 24.2 - Corrective action required by Rule 1002(a) - initial burden - Competing Consolidators
IC 24.1 - Corrective action required by Rule 1002(a) - initial burden - Current SCI Entities
IC 23.5 - Access to EFFS - digital ID - Competing Consolidators
IC 23.4 - Access to EFFS - digital ID - Current SCI Entities
IC 23.3 - Access to EFFS - digital ID - New SCI Entities
IC 23.2 - Access to EFFS - EAUF - ongoing burden - Competing Consolidators
IC 23.1 - Access to EFFS - EAUF - ongoing burden - Current SCI Entities
IC 22.1 - Access to EFFS - EAUF - initial burden - Competing Consolidators
IC 21.2 - SCI review required by Rule 1003(b)(3) - Competing Consolidators
IC 21.1 - SCI review required by Rule 1003(b)(3) - Current SCI Entities
IC 20.2 - SCI review required by Rule 1003(b)(1) and (b)(2) - Competing Consolidators
IC 20.1 - SCI review required by Rule 1003(b)(1) and (b)(2) - Current SCI Entities
IC 19.2 - Material systems change notice required by Rule 1003(a)(2) - Competing Consolidators
IC 19.1 - Material systems change notice required by Rule 1003(a)(2) - Current SCI Entities
IC 18.2 - Material systems change notice required by Rule 1003(a)(1) - Competing Consolidators
IC 18.1 - Material systems change notice required by Rule 1003(a)(1) - Current SCI Entities
IC 17.2 - Dissemination of information required by Rule 1002(c)(2) - Competing Consolidators
IC 17.1 - Dissemination of information required by Rule 1002(c)(2) - Current SCI Entities
IC17 - Dissemination of information required by Rule 1002(c)(2) - New Entities
IC 16.2 - Dissemination of information required by Rule 1002(c)(1)(ii) - Competing Consolidators
IC 16.1 - Dissemination of information required by Rule 1002(c)(1)(ii) - Current SCI Entities
IC 15.2 - Dissemination of information required by Rule 1002(c)(1)(i) - Competing Consolidators
IC 15.1 - Dissemination of information required by Rule 1002(c)(1)(i) - Current SCI Entities
IC 14.2 - SCI event notice required by Rule 1002(b)(5) - Competing Consolidators
IC 14.1 - SCI event notice required by Rule 1002(b)(5) - Current SCI Entities
IC 13.2 - SCI event notice required by Rule 1002(b)(4) - Competing Consolidators
IC 13.1 - SCI event notice required by Rule 1002(b)(4) - Current SCI Entities
IC 12.2 - SCI event notice required by Rule 1002(b)(3) - Competing Consolidators
IC 12.1 - SCI event notice required by Rule 1002(b)(3) - Current SCI Entities
IC 11.2 - SCI event notice required by Rule 1002(b)(2) - Competing Consolidators
IC 11.1 - SCI event notice required by Rule 1002(b)(2) - Current SCI Entities
IC 10.2 - SCI event notice required by Rule 1002(b)(1) - Competing Consolidators
ICR 10.1 - SCI event notice required by Rule 1002(b)(1) - Current SCI Entities
IC 9.3 - Mandate participation in certain testing for plan processors required by Rule 1004
IC 9.2 - Mandate participation in certain testing for non-plan processors required by Rule 1004 - ongoing burden - Competing Consolidators
IC 9.1 - Mandate participation in certain testing for non-plan processors required by Rule 1004 - ongoing burden - Current SCI Entities
IC 8.2 - Mandate participation in certain testing for non-plan processors required by Rule 1004 – initial burden - Competing Consolidators
IC 8.1 - Mandate participation in certain testing for non-plan processors required by Rule 1004 – initial burden - Current SCI Entities
IC 7.2 - Policies and procedures required by Rule 1001(c) – ongoing burden - Competing Consolidators
IC 7.1 - Policies and procedures required by Rule 1001(c) – ongoing burden - Current SCI Entities
IC 6.1 - Policies and procedures required by Rule 1001(c) - initial burden - Competing Consolidators
IC 5.1 - Policies and procedures required by Rule 1001(b) - ongoing burden - New SCI Entities non-SROs
IC 4.1 - Policies and procedures required by Rule 1001(b) - ongoing burden - Competing Consolidators
IC 3.1 - Policies and procedures required by Rule 1001(b) - initial burden - Competing Consolidator
IC 2.2 - Policies and procedures required by Rule 1001(a) - ongoing burden - Competing Consolidator
IC 2.1 - Policies and procedures required by Rule 1001(a) - ongoing burden - Current SCI Entities
IC 1.2 - Policies and procedures required by Rule 1001(a) - initial burden - competing consolidators
IC 1.1 - Policies and procedures required by Rule 1001(a) - initial burden- Current SCI Entities
IC29 - Recordkeeping required by Rules 1005 and 1007 - ongoing burden - New SCI Entities
IC27 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - ongoing burden - New SCI Entities
IC25 - Corrective action required by Rule 1002(a) - ongoing burden - New SCI Entities
IC23 - Access to EFFS - EAUF - ongoing burden - New SCI Entities
IC19 - Material systems change notice required by Rule 1003(a)(2) - New SCI Entities Form and Instruction
IC17 - Dissemination of information required by Rule 1002(c)(2)
IC16 - Dissemination of information required by Rule 1002(c)(1)(ii) - New SCI Entities
IC14 - SCI event notice required by Rule 1002(b)(5) - New SCI Entities Form and Instruction
IC13 - SCI event notice required by Rule 1002(b)(4) - New SCI Entities Form and Instruction
IC12 - SCI event notice required by Rule 1002(b)(3) - New SCI Entities Form and Instruction
IC11 - SCI event notice required by Rule 1002(b)(2) - New SCI Entities Form and Instruction
IC9 - Mandate participation in certain testing for non-plan processors required by Rule 1004 - ongoing burden- New SCI Entities
IC7 - Policies and procedures required by Rule 1001(c) - ongoing burden - New SCI Entities
IC5 - Policies and procedures required by Rule 1001(b) -ongoing burden - Current SCI Entities 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 - New SCI Entities
IC 31 - Access to EFFS - digital ID
IC22 - Access to EFFS - EAUF - initial burden - New SCI Entities
IC6 - Policies and procedures required by Rule 1001(c) - initial burden - New SCI Entities
IC28 - Recordkeeping required by Rules 1005 and 1007 - initial burden - New SCI Entities
IC26 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - initial burden - New SCI Entities
IC24 - Corrective action required by Rule 1002(a) - initial burden - New SCI Entities
IC21 - SCI review required by Rule 1003(b)(3) - New SCI Entities Form and Instruction
IC20 - SCI review required by Rule 1003(b)(1) and (b)(2) - New SCI Entities Form and Instruction
IC18 - Material systems change notice required by Rule 1003(a)(1) - New SCI Entities Form and Instruction
IC15 - Dissemination of information required by Rule 1002(c)(1)(i) - New SCI Entities
IC10 - SCI event notice required by Rule 1002(b)(1) - New SCI Entities 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 - New SCI Entities
IC3 - Policies and procedures required by Rule 1001(b) - initial burden - New SCI Entities
IC1 - Policies and procedures required by Rule 1001(a) - initial burden-- New SCI Entities

All Historical Document Collections

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