whole, the minimum necessary for the maintenance of fair and orderly
markets in the event of the activation of such plans;
    (b) Designate members or participants pursuant to the standards
established in paragraph (a) of this section and require participation
by such designated members or participants in scheduled functional and
performance testing of the operation of such plans, in the manner and
frequency specified by the SCI entity, provided that such frequency
shall not be less than once every 12 months; and
    (c) Coordinate the testing of such plans on an industry- or sector-
wide basis with other SCI entities.

Sec.  242.1005  Recordkeeping requirements related to compliance with
Regulation SCI.

    (a) An SCI SRO shall make, keep, and preserve all documents
relating to its compliance with Regulation SCI as prescribed in Sec.
240.17a-1 of this chapter.
    (b) An SCI entity that is not an SCI SRO shall:
    (1) Make, keep, and preserve at least one copy of all documents,
including correspondence, memoranda, papers, books, notices, accounts,
and other such records, relating to its compliance with Regulation SCI,
including, but not limited to, records relating to any changes to its
SCI systems and indirect SCI systems;
    (2) Keep all such documents for a period of not less than five
years, the first two years in a place that is readily accessible to the
Commission or its representatives for inspection and examination; and
    (3) Upon request of any representative of the Commission, promptly
furnish to the possession of such representative copies of any
documents required to be kept and preserved by it pursuant to
paragraphs (b)(1) and (2) of this section.
    (c) Upon or immediately prior to ceasing to do business or ceasing
to be registered under the Securities Exchange Act of 1934, an SCI
entity shall take all necessary action to ensure that the records
required to be made, kept, and preserved by this section shall be
accessible to the Commission and its representatives in the manner
required by this section and for the remainder of the period required
by this section.

Sec.  242.1006  Electronic filing and submission.

    (a) Except with respect to notifications to the Commission made
pursuant to Sec.  242.1002(b)(1) or updates to the Commission made
pursuant to paragraph Sec.  242.1002(b)(3), any notification, review,
description, analysis, or report to the Commission

required to be submitted under Regulation SCI shall be filed
electronically on Form SCI (Sec.  249.1900 of this chapter), include
all information as prescribed in Form SCI and the instructions thereto,
and contain an electronic signature; and
    (b) The signatory to an electronically filed Form SCI shall
manually sign a signature page or document, in the manner prescribed by
Form SCI, authenticating, acknowledging, or otherwise adopting his or
her signature that appears in typed form within the electronic filing.
Such document shall be executed before or at the time Form SCI is
electronically filed and shall be retained by the SCI entity in
accordance with Sec.  242.1005.

Sec.  242.1007  Requirements for service bureaus.

    If records required to be filed or kept by an SCI entity under
Regulation SCI are prepared or maintained by a service bureau or other
recordkeeping service on behalf of the SCI entity, the SCI entity shall
ensure that the records are available for review by the Commission and
its representatives by submitting a written undertaking, in a form
acceptable to the Commission, by such service bureau or other
recordkeeping service, signed by a duly authorized person at such
service bureau or other recordkeeping service. Such a written
undertaking shall include an agreement by the service bureau to permit
the Commission and its representatives to examine such records at any
time or from time to time during business hours, and to promptly
furnish to the Commission and its representatives true, correct, and
current electronic files in a form acceptable to the Commission or its
representatives or hard copies of any or all or any part of such
records, upon request, periodically, or continuously and, in any case,
within the same time periods as would apply to the SCI entity for such
records. The preparation or maintenance of records by a service bureau
or other recordkeeping service shall not relieve an SCI entity from its
obligation to prepare, maintain, and provide the Commission and its
representatives access to such records.

PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934

0
7. The general authority citation for part 249 continues to read in
part as follows:

    Authority:  15 U.S.C. 78a et seq. and 7201; and 18 U.S.C. 1350
unless otherwise noted.
* * * * *
0
8. Add subpart T, consisting of Sec.  249.1900 to read as follows:

Subpart T--Form SCI, for filing notices and reports as required by
Regulation SCI.

Sec.  249.1900.  Form SCI, for filing notices and reports as required
by Regulation SCI.

    Form SCI shall be used to file notices and reports as required by
Regulation SCI (Sec. Sec.  242.1000 through 242.1007).

    Note:  The text of Form SCI does not, and the amendments will
not, appear in the Code of Federal Regulations.

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------------------------------------------------------------------------
Exhibit 1: Rule 1002(b)(2)             Within 24 hours of any
 Notification of SCI Event.             responsible SCI personnel having
Add/Remove/View......................   a reasonable basis to conclude
                                        that the SCI event has occurred,
                                        the SCI entity shall submit a
                                        written notification pertaining
                                        to such SCI event to the
                                        Commission, which shall be made
                                        on a good faith, best efforts
                                        basis and include:
                                       (a) a description of the SCI
                                        event, including the system(s)
                                        affected; and
                                          (b) to the extent available as
                                           of the time of the
                                           notification: The SCI
                                           entity's current assessment
                                           of the types and number of
                                           market participants
                                           potentially affected by the
                                           SCI event; the potential
                                           impact of the SCI event on
                                           the market; a description of
                                           the steps the SCI entity has
                                           taken, is taking, or plans to
                                           take, with respect to the SCI
                                           event; the time the SCI event
                                           was resolved or timeframe
                                           within which the SCI event is
                                           expected to be resolved; and
                                           any other pertinent
                                           information known by the SCI
                                           entity about the SCI event.
Exhibit 2: Rule 1002(b)(4) Final or    When submitting a final report
 Interim Report of SCI Event.           pursuant to either Rule
Add/Remove/View......................   1002(b)(4)(i)(A) or Rule
                                        1002(b)(4)(i)(B)(2), the SCI
                                        entity shall include:
                                       (a) a detailed description of:
                                        The SCI entity's assessment of
                                        the types and number of market
                                        participants affected by the SCI
                                        event; the SCI entity's
                                        assessment of the impact of the
                                        SCI event on the market; the
                                        steps the SCI entity has taken,
                                        is taking, or plans to take,
                                        with respect to the SCI event;
                                        the time the SCI event was
                                        resolved; the SCI entity's
                                        rule(s) and/or governing
                                        document(s), as applicable, that
                                        relate to the SCI event; and any
                                        other pertinent information
                                        known by the SCI entity about
                                        the SCI event;
                                          (b) a copy of any information
                                           disseminated pursuant to Rule
                                           1002(c) by the SCI entity to
                                           date regarding the SCI event
                                           to any of its members or
                                           participants; and
                                          (c) an analysis of parties
                                           that may have experienced a
                                           loss, whether monetary or
                                           otherwise, due to the SCI
                                           event, the number of such
                                           parties, and an estimate of
                                           the aggregate amount of such
                                           loss.

                                       When submitting an interim report
                                        pursuant to Rule
                                        1002(b)(4)(i)(B)(1), the SCI
                                        entity shall include such
                                        information to the extent known
                                        at the time.
Exhibit 3: Rule 1002(b)(5)(ii)         The SCI entity shall submit a
 Quarterly Report of De Minimis SCI     report, within 30 calendar days
 Events.                                after the end of each calendar
Add/Remove/View......................   quarter, containing a summary
                                        description of systems
                                        disruptions and systems
                                        intrusions that have had, or the
                                        SCI entity reasonably estimates
                                        would have, no or a de minimis
                                        impact on the SCI entity's
                                        operations or on market
                                        participants, including the SCI
                                        systems and, for systems
                                        intrusions, indirect SCI
                                        systems, affected by such SCI
                                        events during the applicable
                                        calendar quarter.

Exhibit 4: Rule 1003 (a) Quarterly     When submitting a report pursuant
 Report of Systems Changes.             to Rule 1003(a)(1), the SCI
Add/Remove/View......................   entity shall provide a report,
                                        within 30 calendar days after
                                        the end of each calendar
                                        quarter, describing completed,
                                        ongoing, and planned material
                                        changes to its SCI systems and
                                        the security of indirect SCI
                                        systems, during the prior,
                                        current, and subsequent calendar
                                        quarters, including the dates or
                                        expected dates of commencement
                                        and completion. An SCI entity
                                        shall establish reasonable
                                        written criteria for identifying
                                        a change to its SCI systems and
                                        the security of indirect SCI
                                        systems as material and report
                                        such changes in accordance with
                                        such criteria.
                                       When submitting a report pursuant
                                        to Rule 1003(a)(2), the SCI
                                        entity shall provide a
                                        supplemental report of a
                                        material error in or material
                                        omission from a report
                                        previously submitted under Rule
                                        1003(a)(1).
Exhibit 5: Rule 1003(b)(3) Report of   The SCI entity shall provide a
 SCI review.                            report of the SCI review,
Add/Remove/View......................   together with any response by
                                        senior management, within 60
                                        calendar days after its
                                        submission to senior management
                                        of the SCI entity.
Exhibit 6: Optional Attachments......  This exhibit may be used in order
Add/Remove/View......................   to attach other documents that
                                        the SCI entity may wish to
                                        submit as part of a Rule
                                        1002(b)(1) initial notification
                                        submission or Rule 1002(b)(3)
                                        update submission.
------------------------------------------------------------------------

General Instructions for Form SCI

A. Use of the Form

    Except with respect to notifications to the Commission made
pursuant to Rule 1002(b)(1) or updates to the Commission made pursuant
to Rule 1002(b)(3), any notification, review, description, analysis, or
report required to be submitted pursuant to Regulation SCI under the
Securities Exchange Act of 1934 (``Act'') shall be filed in an
electronic format through an electronic form filing system (``EFFS''),
a secure Web site operated by the Securities and Exchange Commission
(``Commission''). Documents attached as exhibits filed through the EFFS
system must be in a text-searchable format without the use of optical
character recognition. If, however, a portion of a Form SCI submission
(e.g., an image or diagram) cannot be made available in a text-
searchable format, such portion may be submitted in a non-text
searchable format.

B. Need for Careful Preparation of the Completed Form, Including
Exhibits

    This form, including the exhibits, is intended to elicit
information necessary for Commission staff to work with SCI self-
regulatory organizations, SCI alternative trading systems, plan
processors, and exempt clearing agencies subject to ARP (collectively,
``SCI entities'') to ensure the capacity, integrity, resiliency,
availability, security, and compliance of their automated systems. An
SCI entity must provide all the information required by the form,
including the exhibits, and must present the information in a clear and
comprehensible manner. A filing that is incomplete or similarly
deficient may be returned to the SCI entity. Any filing so returned
shall for all purposes be deemed not to have been filed with the
Commission. See also Rule 0-3 under the Act (17 CFR 240.0-3).

C. When To Use the Form

    Form SCI is comprised of six types of required submissions to the
Commission pursuant to Rules 1002 and 1003. In addition, Form SCI
permits SCI entities to submit to the Commission two additional types
of submissions pursuant to Rules 1002(b)(1) and 1002(b)(3); however,
SCI entities are not required to use Form SCI for these two types of
submissions to the Commission. In filling out Form SCI, an SCI entity
shall select the type of filing and provide all information required by
Regulation SCI specific to that type of filing.
    The first two types of required submissions relate to Commission
notification of certain SCI events:
    (1) ``Rule 1002(b)(2) Notification of SCI Event'' submissions for
notifications regarding systems disruptions, systems compliance issues,
or systems intrusions (collectively, ``SCI events''), other than any
systems disruption or systems intrusion that has had, or the SCI entity
reasonably estimates would have, no or a de minimis impact on the SCI
entity's operations or on market participants; and
    (2) ``Rule 1002(b)(4) Final or Interim Report of SCI Event''
submissions, of which there are two kinds (a final report under Rule
1002(b)(4)(i)(A) or Rule 1002(b)(4)(i)(B)(2); or an interim status
report under Rule 1002(b)(4)(i)(B)(1)).
    The other four types of required submissions are periodic reports,
and include:
    (1) ``Rule 1002(b)(5)(ii)'' submissions for quarterly reports of
systems disruptions and systems intrusions which have had, or the SCI
entity reasonably estimates would have, no or a de minimis impact on
the SCI entity's operations or on market participants (``de minimis SCI
events'');
    (2) ``Rule 1003(a)(1)'' submissions for quarterly reports of
material systems changes;
    (3) ``Rule 1003(a)(2)'' submissions for supplemental reports of
material systems changes; and
    (4) ``Rule 1003(b)(3)'' submissions for reports of SCI reviews.
Required Submissions for SCI Events
    For 1002(b)(2) submissions, an SCI entity must notify the
Commission using Form SCI by selecting the appropriate box in Section I
and filling out all information required by the form, including Exhibit
1. 1002(b)(2) submissions must be submitted within 24 hours of any
responsible SCI personnel having a reasonable basis to conclude that an
SCI event has occurred.
    For 1002(b)(4) submissions, if an SCI event is resolved and the SCI
entity's investigation of the SCI event is closed within 30 calendar
days of the occurrence of the SCI event, an SCI entity must file a
final report under Rule 1002(b)(4)(i)(A) within five business days
after the resolution of the SCI event and closure of the investigation
regarding the SCI event. However, if an SCI event is not resolved or
the SCI entity's investigation of the SCI event is not closed within 30
calendar days of the occurrence of the SCI event, an SCI entity must
file an interim status report under Rule 1002(b)(4)(i)(B)(1) within 30
calendar days after the occurrence of the SCI event. For SCI events in
which an interim status report is required to be filed, an SCI entity
must file a final report under Rule 1002(b)(4)(i)(B)(2) within five
business days after the resolution of the SCI event and closure of the
investigation regarding the SCI event. For 1002(b)(4) submissions, an
SCI entity must notify the Commission using Form SCI by selecting the
appropriate box in Section I and filling out all information required
by the form, including Exhibit 2.
Required Submissions for Periodic Reporting
    For 1002(b)(5)(ii) submissions, an SCI entity must submit quarterly
reports of systems disruptions and systems intrusions which have had,
or the SCI entity reasonably estimates would have, no or a de minimis
impact on the SCI entity's operations or on market participants. The
SCI entity must select

the appropriate box in Section II and fill out all information required
by the form, including Exhibit 3.
    For 1003(a)(1) submissions, an SCI entity must submit its quarterly
report of material systems changes to the Commission using Form SCI.
The SCI entity must select the appropriate box in Section II and fill
out all information required by the form, including Exhibit 4.
    Filings made pursuant to Rule 1002(b)(5)(ii) and Rule 1003(a)(1)
must be submitted to the Commission within 30 calendar days after the
end of each calendar quarter (i.e., March 31st, June 30th, September
30th and December 31st) of each year.
    For 1003(a)(2) submissions, an SCI entity must submit a
supplemental report notifying the Commission of a material error in or
material omission from a report previously submitted under Rule
1003(a). The SCI entity must select the appropriate box in Section II
and fill out all information required by the form, including Exhibit 4.
    For 1003(b)(3) submissions, an SCI entity must submit its report of
its SCI review, together with any response by senior management, to the
Commission using Form SCI. A 1003(b)(3) submission is required within
60 calendar days after the report of the SCI review has been submitted
to senior management of the SCI entity. The SCI entity must select the
appropriate box in Section II and fill out all information required by
the form, including Exhibit 5.
Optional Submissions
    An SCI entity may, but is not required to, use Form SCI to submit a
notification pursuant to Rule 1002(b)(1). If the SCI entity uses Form
SCI to submit a notification pursuant to Rule 1002(b)(1), it must
select the appropriate box in Section I and provide a short description
of the SCI event. Documents may also be attached as Exhibit 6 if the
SCI entity chooses to do so. An SCI entity may, but is not required to,
use Form SCI to submit an update pursuant to Rule 1002(b)(3). Rule
1002(b)(3) requires an SCI entity to, until such time as the SCI event
is resolved and the SCI entity's investigation of the SCI event is
closed, provide updates pertaining to such SCI event to the Commission
on a regular basis, or at such frequency as reasonably requested by a
representative of the Commission, to correct any materially incorrect
information previously provided, or when new material information is
discovered, including but not limited to, any of the information listed
in Rule 1002(b)(2)(ii). If the SCI entity uses Form SCI to submit an
update pursuant to Rule 1002(b)(3), it must select the appropriate box
in Section I and provide a short description of the SCI event.
Documents may also be attached as Exhibit 6 if the SCI entity chooses
to do so.

D. Documents Comprising the Completed Form

    The completed form filed with the Commission shall consist of Form
SCI, responses to all applicable items, and any exhibits required in
connection with the filing. Each filing shall be marked on Form SCI
with the initials of the SCI entity, the four-digit year, and the
number of the filing for the year (e.g., SCI Name-YYYY-XXX).

E. Contact Information; Signature; and Filing of the Completed Form

    Each time an SCI entity submits a filing to the Commission on Form
SCI, the SCI entity must provide the contact information required by
Section III of Form SCI. Space for additional contact information, if
appropriate, is also provided.
    All notifications and reports required to be submitted through Form
SCI shall be filed through the EFFS. In order to file Form SCI through
the EFFS, SCI entities must request access to the Commission's External
Application Server by completing a request for an external account user
ID and password. Initial requests will be received by contacting (202)
551-5777. An email will be sent to the requestor that will provide a
link to a secure Web site where basic profile information will be
requested. A duly authorized individual of the SCI entity shall
electronically sign the completed Form SCI as indicated in Section IV
of the form. In addition, a duly authorized individual of the SCI
entity shall manually sign one copy of the completed Form SCI, and the
manually signed signature page shall be preserved pursuant to the
requirements of Rule 1005.

F. Withdrawals of Commission Notifications and Periodic Reports

    If an SCI entity determines to withdraw a Form SCI, it must
complete Page 1 of the Form SCI and indicate by selecting the
appropriate check box to withdraw the submission.

G. Paperwork Reduction Act Disclosure

    This collection of information will be reviewed by the Office of
Management and Budget in accordance with the clearance requirements of
44 U.S.C. 3507. An agency may not conduct or sponsor, and a person is
not required to respond to, a collection of information unless it
displays a currently valid control number. The Commission estimates
that the average burden to respond to Form SCI will be between one and
125 hours, depending upon the purpose for which the form is being
filed. Any member of the public may direct to the Commission any
comments concerning the accuracy of this burden estimate and any
suggestions for reducing this burden.
    Except with respect to notifications to the Commission made
pursuant to Rule 1002(b)(1) or updates to the Commission made pursuant
to Rule 1002(b)(3), it is mandatory that an SCI entity file all
notifications, reviews, descriptions, analyses, and reports required by
Regulation SCI using Form SCI. The Commission will keep the information
collected pursuant to Form SCI confidential to the extent permitted by
law. Subject to the provisions of the Freedom of Information Act, 5
U.S.C. 522 (``FOIA''), and the Commission's rules thereunder (17 CFR
200.80(b)(4)(iii)), the Commission does not generally publish or make
available information contained in any reports, summaries, analyses,
letters, or memoranda arising out of, in anticipation of, or in
connection with an examination or inspection of the books and records
of any person or any other investigation.

H. Exhibits

    List of exhibits to be filed, as applicable:
    Exhibit 1: Rule 1002(b)(2)--Notification of SCI Event. Within 24
hours of any responsible SCI personnel having a reasonable basis to
conclude that the SCI event has occurred, the SCI entity shall submit a
written notification pertaining to such SCI event to the Commission,
which shall be made on a good faith, best efforts basis and include:
(a) A description of the SCI event, including the system(s) affected;
and (b) to the extent available as of the time of the notification: the
SCI entity's current assessment of the types and number of market
participants potentially affected by the SCI event; the potential
impact of the SCI event on the market; a description of the steps the
SCI entity has taken, is taking, or plans to take, with respect to the
SCI event; the time the SCI event was resolved or timeframe within
which the SCI event is expected to be resolved; and any other pertinent
information known by the SCI entity about the SCI event.
    Exhibit 2: Rule 1002(b)(4)--Final or Interim Report of SCI Event.
When submitting a final report pursuant to either Rule 1002(b)(4)(i)(A)
or Rule 1002(b)(4)(i)(B)(2), the SCI entity shall include: (a) A
detailed description of:

The SCI entity's assessment of the types and number of market
participants affected by the SCI event; the SCI entity's assessment of
the impact of the SCI event on the market; the steps the SCI entity has
taken, is taking, or plans to take, with respect to the SCI event; the
time the SCI event was resolved; the SCI entity's rule(s) and/or
governing document(s), as applicable, that relate to the SCI event; and
any other pertinent information known by the SCI entity about the SCI
event; (b) a copy of any information disseminated pursuant to Rule
1002(c) by the SCI entity to date regarding the SCI event to any of its
members or participants; and (c) an analysis of parties that may have
experienced a loss, whether monetary or otherwise, due to the SCI
event, the number of such parties, and an estimate of the aggregate
amount of such loss. When submitting an interim report pursuant to Rule
1002(b)(4)(i)(B)(1), the SCI entity shall include such information to
the extent known at the time.
    Exhibit 3: Rule 1002(b)(5)(ii)--Quarterly Report of De Minimis SCI
Events. The SCI entity shall submit a report, within 30 calendar days
after the end of each calendar quarter, containing a summary
description of systems disruptions and systems intrusions that have
had, or the SCI entity reasonably estimates would have, no or a de
minimis impact on the SCI entity's operations or on market
participants, including the SCI systems and, for systems intrusions,
indirect SCI systems, affected by such SCI events during the applicable
calendar quarter.
    Exhibit 4: Rule 1003(a)--Quarterly Report of Systems Changes. When
submitting a report pursuant to Rule 1003(a)(1), the SCI entity shall
provide a report, within 30 calendar days after the end of each
calendar quarter, describing completed, ongoing, and planned material
changes to its SCI systems and the security of indirect SCI systems,
during the prior, current, and subsequent calendar quarters, including
the dates or expected dates of commencement and completion. An SCI
entity shall establish reasonable written criteria for identifying a
change to its SCI systems and the security of indirect SCI systems as
material and report such changes in accordance with such criteria. When
submitting a report pursuant to Rule 1003(a)(2), the SCI entity shall
provide a supplemental report of a material error in or material
omission from a report previously submitted under Rule 1003(a);
provided, however, that a supplemental report is not required if
information regarding a material systems change is or will be provided
as part of a notification made pursuant to Rule 1002(b).
    Exhibit 5: Rule 1003(b)(3)--Report of SCI Review. The SCI entity
shall provide a report of the SCI review, together with any response by
senior management, within 60 calendar days after its submission to
senior management of the SCI entity.
    Exhibit 6: Optional Attachments. This exhibit may be used in order
to attach other documents that the SCI entity may wish to submit as
part of a Rule 1002(b)(1) initial notification submission or Rule
1002(b)(3) update submission.

I. Explanation of Terms

    Critical SCI systems means any SCI systems of, or operated by or on
behalf of, an SCI entity that: (1) directly support functionality
relating to: (i) clearance and settlement systems of clearing agencies;
(ii) openings, reopenings, and closings on the primary listing market;
(iii) trading halts; (iv) initial public offerings; (v) the provision
of consolidated market data; or (vi) exclusively-listed securities; or
(2) provide functionality to the securities markets for which the
availability of alternatives is significantly limited or nonexistent
and without which there would be a material impact on fair and orderly
markets.
    Indirect SCI systems means any systems of, or operated by or on
behalf of, an SCI entity that, if breached, would be reasonably likely
to pose a security threat to SCI systems.
    Major SCI event means an SCI event that has had, or the SCI entity
reasonably estimates would have: (1) Any impact on a critical SCI
system; or (2) a significant impact on the SCI entity's operations or
on market participants.
    Responsible SCI personnel means, for a particular SCI system or
indirect SCI system impacted by an SCI event, such senior manager(s) of
the SCI entity having responsibility for such system, and their
designee(s).
    SCI entity means an SCI self-regulatory organization, SCI
alternative trading system, plan processor, or exempt clearing agency
subject to ARP.
    SCI event means an event at an SCI entity that constitutes: (1) A
systems disruption; (2) a systems compliance issue; or (3) a systems
intrusion.
    SCI review means a review, following established procedures and
standards, that is performed by objective personnel having appropriate
experience to conduct reviews of SCI systems and indirect SCI systems,
and which review contains: (1) A risk assessment with respect to such
systems of an SCI entity; and (2) an assessment of internal control
design and effectiveness of its SCI systems and indirect SCI systems to
include logical and physical security controls, development processes,
and information technology governance, consistent with industry
standards.
    SCI systems means all computer, network, electronic, technical,
automated, or similar systems of, or operated by or on behalf of, an
SCI entity that, with respect to securities, directly support trading,
clearance and settlement, order routing, market data, market
regulation, or market surveillance.
    Systems Compliance Issue means an event at an SCI entity that has
caused any SCI system of such entity to operate in a manner that does
not comply with the Act and the rules and regulations thereunder or the
entity's rules or governing documents, as applicable.
    Systems Disruption means an event in an SCI entity's SCI systems
that disrupts, or significantly degrades, the normal operation of an
SCI system.
    Systems Intrusion means any unauthorized entry into the SCI systems
or indirect SCI systems of an SCI entity.

    By the Commission.

    Dated: November 19, 2014.
Brent J. Fields,
Secretary.

Exhibit A

Key to Comment Letters Cited in Regulation SCI Adopting Release
(File No. S7-01-13)
Letter from Charles V. Rossi, President, The Securities Transfer
Association, Inc. to Elizabeth Murphy, Secretary, Commission, dated
April 3, 2013 (``STA Letter'')
Letter from John J. Rapa, President/Chief Executive Officer,
Tellefsen and Company, L.L.C., Northborough, Massachusetts to
Elizabeth Murphy, Commission, dated April 19, 2013 (``Tellefsen
Letter'')
Letter from Cynthia Fuller, Executive Director, on behalf of
Accredited Standards Committee X9, Inc. Financial Industry Standards
to the Commission, dated May 23, 2013 (``X9 Letter'')
Letter from Scott Cooper, Vice President, Government Relations and
Public Policy, American National Standards Institute to the
Commission, dated May 23, 2013 (``ANSI Letter'')
Letter from James J. Angel, Ph.D., CFA, Visiting Associate
Professor, The Wharton School, University of Pennsylvania to the
Commission, dated June 3, 2013 (``Angel Letter'')
Letter from Raymond M. Tierney III, President and Chief Executive
Officer, Bloomberg Tradebook LLC to Elizabeth Murphy, Secretary,
Commission, dated June 19, 2013 (``Tradebook Letter'')
Letter from Jay M. Goldstone, Chairman, Municipal Securities
Rulemaking Board, Alexandria, Virginia to Elizabeth Murphy,
Secretary, Commission, dated June 28, 2013 (``MSRB Letter'')

Letter from Thomas V. D'Ambrosio, Chairman, Committee on Futures and
Derivatives, New York City Bar Association to Elizabeth Murphy,
Secretary, Commission, dated July 1, 2013 (``NYC Bar Letter'')
Letter from Richard M. Whiting, Executive Director and General
Counsel, The Financial Services Roundtable to Elizabeth Murphy,
Secretary, Commission, dated July 5, 2013 (``FSR Letter'')
Letter from Rob Flatley, Chief Executive Officer and President,
CoreOne Technologies to Elizabeth Murphy, Secretary, Commission,
dated July 8, 2013 (``CoreOne Letter'')
Letter from Manisha Kimmel, Executive Director, Financial
Information Forum to Elizabeth Murphy, Secretary, Commission, dated
July 8, 2013 (``FIF Letter'')
Letter from Larry E. Thompson, Managing Director and General
Counsel, The Depository Trust Clearing Corporation to Elizabeth
Murphy, Secretary, Commission, dated July 8, 2013 (``DTCC Letter'')
Letter from Raymond Tamayo, Chief Information Officer, Options
Clearing Corporation to Elizabeth Murphy, Secretary, Commission,
dated July 8, 2013 (``OCC Letter'')
Letter from Timothy J. Mahoney, CEO, BIDS Trading, L.P., New York,
New York to Elizabeth Murphy, Secretary, Commission, dated July 8,
2013 (``BIDS Letter'')
Letter from Michael Simon, Secretary, International Securities
Exchange, LLC to Elizabeth Murphy, Secretary, Commission, dated July
8, 2013 (``ISE Letter'')
Letter from Courtney D. McGuinn, Operations Director, FIX Protocol
Ltd., New York, New York to Elizabeth Murphy, Secretary, Commission,
dated July 8, 2013 (``FIX Letter'')
Letter from R.T. Leuchtkafer to Elizabeth Murphy, Secretary,
Commission, dated July 8, 2013 (``Leuchtkafer Letter '')
Letter from Dennis M. Kelleher, President & CEO; Stephen W. Hall,
Securities Specialist; Katelynn O. Bradley, Attorney; and David
Frenk, Director of Research; Better Markets, Inc. to Elizabeth
Murphy, Secretary, Commission, dated July 8, 2013 (``Better Markets
Letter'')
Letter from Lev Lesokhin, Executive Vice President, Strategy and
Markets, CAST, Inc., New York, New York to the Commission, dated
July 8, 2013 (``CAST Letter'')
Letter from Robert J. McCarthy, Director of Regulatory Policy, Wells
Fargo Advisors to Elizabeth Murphy, Secretary, Commission, dated
July 8, 2013 (``Wells Fargo Letter'')
Letter from Marcia E. Asquith, Senior Vice President and Corporate
Secretary, FINRA to Elizabeth Murphy, Secretary, Commission, dated
July 8, 2013 (``FINRA Letter'')
Letter from Dr. Bill Curtis, Director, Consortium for IT Software
Quality to Elizabeth Murphy, Secretary, Commission, dated July 8,
2013 (``CISQ Letter'')
Letter from Howard Meyerson, General Counsel, Liquidnet, Inc., New
York, New York to the Commission, dated July 8, 2013 (``Liquidnet
Letter'')
Letter from David T. Bellaire, Esq., Executive Vice President and
General Counsel, Financial Services Institute, Washington, District
of Columbia to Elizabeth Murphy, Secretary, Commission, dated July
8, 2013 (``FSI Letter'')
Letter from Scott C. Goebel, General Counsel, Fidelity Management
and Research Co., Boston, Massachusetts to Elizabeth Murphy,
Secretary, Commission, dated July 8, 2013 (``Fidelity Letter'')
Letter from Joseph Adamczyk, Executive Director, Associate General
Counsel, CME Group Inc. to Elizabeth Murphy, Secretary, Commission,
dated July 8, 2013 (``CME Letter'')
Letter from Norman M. Reed, Omgeo LLC, New York, New York to
Elizabeth Murphy, Secretary, Commission, dated July 8, 2013 (``Omgeo
Letter'')
Letter from David Lauer, Market Structure and Technology
Architecture Consultant, Step Ahead Technologies, LLC to Elizabeth
Murphy, Secretary, Commission, dated July 8, 2013 (``Lauer Letter'')
Letter from Theodore R. Lazo, Managing Director and Associate
General Counsel, SIFMA to Elizabeth Murphy, Secretary, Commission,
dated July 8, 2013 (``SIFMA Letter'')
Letter from Jeffrey Wallis, Managing Partner, SunGard Consulting
Services, New York, New York to Elizabeth Murphy, Secretary,
Commission, dated July 8, 2013 (``SunGard Letter'')
Letter from Janet McGinness, EVP & Corporate Secretary, NYSE
Euronext to Elizabeth Murphy, Secretary, Commission, dated July 9,
2013 (``NYSE Letter'')
Letter from Eric J. Swanson, Secretary, BATS Global Markets to
Elizabeth Murphy, Secretary, Commission, dated July 10, 2013 (``BATS
Letter'')
Letter from Mary Ann Burns, Futures Industry Association Principal
Traders Group, Washington, District of Columbia to Elizabeth Murphy,
Secretary, Commission, dated July 11, 2013 (``FIA PTG Letter'')
Letter from James P. Selway, III, P. Mats Goebels and Sudhanshu
Arya, ITG Inc. to Elizabeth Murphy, Secretary, Commission, dated
July 11, 2013 (``ITG Letter'')
Letter from Karrie McMillan, General Counsel, Investment Company
Institute to Elizabeth Murphy, Secretary, Commission, dated July 12,
2013 (``ICI Letter'')
Letter from Stuart J. Kaswell, Executive Vice President & Managing
Director, Managed Funds Association, and Jir[iacute] Kr[oacute]l,
Deputy CEO, Head of Government and Regulatory Affairs, Alternative
Investment Management Association to Elizabeth Murphy, Secretary,
Commission, dated July 17, 2013 (``MFA Letter'')
Letter from Anthony J. Saliba, Chief Executive Officer, LiquidPoint,
LLC to Elizabeth Murphy, Secretary, Commission, dated July 22, 2013
(``LiquidPoint Letter'')
Letter from Elizabeth K. King, Global Head of Regulatory Affairs,
KCG Holdings, Inc., Jersey City, New Jersey to Elizabeth Murphy,
Secretary, Commission, dated July 25, 2013 (``KCG Letter'')
Letter from Roger Anerella, Managing Director, Global Head of
Securities Execution Services, UBS Investment Bank to Elizabeth
Murphy, Secretary, Commission, dated July 26, 2013 (``UBS Letter'')
Letter from Eric Swanson, SVP, General Counsel and Secretary, BATS
Global Markets, Inc., et al. to Elizabeth Murphy, Secretary,
Commission, dated July 30, 2013 (``Joint SROs Letter'')
Letter from Thomas S. Vales, Chief Executive Officer, TMC Bonds LLC
to Elizabeth Murphy, Secretary, Commission, dated August 6, 2013
(``TMC Bonds Letter'')
Letter from James J. Angel, Ph.D., CFA, Visiting Associate
Professor, The Wharton School, University of Pennsylvania to the
Commission, dated September 3, 2013 (``Angel2 Letter'')
Letter from Benjamin R. Londergan, Chief Executive Officer, Group
One Trading L.P. to Elizabeth Murphy, Secretary, Commission, dated
September 3, 2013 (``Group One Letter'')
Letter from Ari Gabinet, Executive Vice President and General
Counsel, OFI Global Asset Management to Elizabeth Murphy, Secretary,
Commission, dated September 9, 2013 (``Oppenheimer Letter'')
Letter from Daniel Zinn, General Counsel, OTC Markets Group Inc. to
Elizabeth Murphy, Secretary, Commission, dated September 12, 2013
(``OTC Markets Letter'')
Letter from Dr. Bill Curtis, Director, Consortium for IT Software
Quality to Elizabeth Murphy, Secretary, Commission, dated September
17, 2013 (``CISQ2 Letter'')
Letter from William O'Brien, Chief Executive Officer, Direct Edge
Holdings to Elizabeth M. Murphy, Secretary, Commission, dated
September 25, 2013 (``Direct Edge Letter'')
Letter from Richie Prager, Managing Director, Head of Trading &
Liquidity Strategies, Hubert De Jesus, Managing Director, Co-Head of
Market Structure & Electronic Trading, Supurna Vedbrat, Managing
Director, Co-Head of Market Structure & Electronic Trading, and
Joanne Medero, Managing Director, Government Relations & Public
Policy, BlackRock, Inc. to Mary Jo White, Chair, Commission, dated
September 12, 2014 (``BlackRock Letter'').

[FR Doc. 2014-27767 Filed 12-4-14; 8:45 am]
BILLING CODE P