In a final audit report, the SEC's Office of Inspector General (OIG) identified ways in which the SEC's Office of Compliance Inspections and Examinations ("OCIE") could improve its oversight of entities' compliance with Regulation SCI (Systems Compliance and Integrity) under the OCIE Technology Controls Program.
Regulation SCI is intended to strengthen the technology infrastructure of the U.S. securities markets by requiring the exchanges and other market intermediaries subject to the Regulation to improve the resiliency of their own technology.
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