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Electronic Code of Federal Regulations

e-CFR data is current as of March 26, 2020

Title 17Chapter IIPart 242 → §242.1006


Title 17: Commodity and Securities Exchanges
PART 242—REGULATIONS M, SHO, ATS, AC, NMS, AND SBSR AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
Regulation SCI—Systems Compliance and Integrity


§242.1006   Electronic filing and submission.

(a) Except with respect to notifications to the Commission made pursuant to §242.1002(b)(1) or updates to the Commission made pursuant to paragraph §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 (§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 §242.1005.

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