SEC rule under the Securities Exchange Act of 1934
E464859
Regulation SCI is a U.S. Securities and Exchange Commission regulation that imposes technology, systems integrity, and cybersecurity requirements on key market participants to promote the stability and resilience of the securities markets.
All labels observed (1)
| Label | Occurrences |
|---|---|
| SEC rule under the Securities Exchange Act of 1934 canonical | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T4711004 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: SEC rule under the Securities Exchange Act of 1934 Context triple: [Regulation SCI, legalForm, SEC rule under the Securities Exchange Act of 1934]
-
A.
U.S. Securities Exchange Act of 1934
The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.
-
B.
Section 10(b) of the Securities Exchange Act of 1934
Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
-
C.
Section 4(a)(2) of the Securities Act of 1933
Section 4(a)(2) of the Securities Act of 1933 is the statutory exemption that permits issuers to offer and sell securities in private placements without registering them with the SEC, provided the transactions do not involve a public offering.
-
D.
Section 4(a)(6) of the Securities Act of 1933
Section 4(a)(6) of the Securities Act of 1933 is the statutory exemption that permits certain small companies to raise limited amounts of capital from the general public through regulated crowdfunding without registering their securities offerings with the SEC.
-
E.
Rule 10b-5
Rule 10b-5 is a core SEC anti-fraud regulation that prohibits deceptive practices in connection with the purchase or sale of securities.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: SEC rule under the Securities Exchange Act of 1934 Target entity description: Regulation SCI is a U.S. Securities and Exchange Commission regulation that imposes technology, systems integrity, and cybersecurity requirements on key market participants to promote the stability and resilience of the securities markets.
-
A.
U.S. Securities Exchange Act of 1934
The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.
-
B.
Section 10(b) of the Securities Exchange Act of 1934
Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
-
C.
Section 4(a)(2) of the Securities Act of 1933
Section 4(a)(2) of the Securities Act of 1933 is the statutory exemption that permits issuers to offer and sell securities in private placements without registering them with the SEC, provided the transactions do not involve a public offering.
-
D.
Section 4(a)(6) of the Securities Act of 1933
Section 4(a)(6) of the Securities Act of 1933 is the statutory exemption that permits certain small companies to raise limited amounts of capital from the general public through regulated crowdfunding without registering their securities offerings with the SEC.
-
E.
Rule 10b-5
Rule 10b-5 is a core SEC anti-fraud regulation that prohibits deceptive practices in connection with the purchase or sale of securities.
- F. None of above. chosen
Statements (43)
| Predicate | Object |
|---|---|
| instanceOf |
U.S. SEC regulation
ⓘ
securities market regulation ⓘ |
| appliesTo |
certain alternative trading systems
ⓘ
certain exempt clearing agencies ⓘ entities whose systems are critical to the functioning of the securities markets ⓘ plan processors ⓘ self-regulatory organizations ⓘ |
| defines | SCI event ⓘ |
| enforcementBy | Division of Trading and Markets of the SEC NERFINISHED ⓘ |
| enforcementMechanism |
SEC enforcement actions
ⓘ
SEC examinations ⓘ |
| focusesOn | key market participants that provide critical market infrastructure ⓘ |
| fullName | Regulation Systems Compliance and Integrity NERFINISHED ⓘ |
| goal |
to mitigate the impact of technology failures on fair and orderly markets
ⓘ
to mitigate the impact of technology failures on investors ⓘ |
| includesConcept | SCI systems ⓘ |
| jurisdiction |
United States of America
ⓘ
surface form:
United States
|
| legalBasis | Securities Exchange Act of 1934 NERFINISHED ⓘ |
| objective |
to enhance market-wide operational resilience
ⓘ
to standardize minimum technology controls across key market participants ⓘ |
| obligation |
to maintain systems capacity reasonably designed to handle market stress
ⓘ
to maintain systems integrity and availability ⓘ to protect the confidentiality, integrity, and availability of critical systems and data ⓘ |
| purpose |
to improve the SEC’s oversight of critical market infrastructure
ⓘ
to promote the resilience of the securities markets ⓘ to promote the stability of the securities markets ⓘ to reduce the occurrence of systems issues in securities markets ⓘ |
| regulator | U.S. Securities and Exchange Commission NERFINISHED ⓘ |
| regulatoryCategory | technology and operational risk regulation ⓘ |
| relatedTo | market structure regulation under the Securities Exchange Act of 1934 ⓘ |
| requires |
annual review of compliance with Regulation SCI
ⓘ
monitoring of systems capacity and performance ⓘ notification to affected members or participants of certain systems issues ⓘ notification to the SEC of certain systems issues ⓘ periodic systems testing ⓘ policies and procedures for business continuity and disaster recovery ⓘ policies and procedures for capacity planning ⓘ policies and procedures for information security ⓘ policies and procedures for systems development and testing ⓘ remedial action to address systems disruptions and vulnerabilities ⓘ |
| subjectMatter |
cybersecurity
ⓘ
systems integrity ⓘ technology requirements for securities markets ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: SEC rule under the Securities Exchange Act of 1934 Description of subject: Regulation SCI is a U.S. Securities and Exchange Commission regulation that imposes technology, systems integrity, and cybersecurity requirements on key market participants to promote the stability and resilience of the securities markets.
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.