The U.S. Securities and Exchange Commission (SEC) is an independent, federal government agency responsible for protecting investors, maintaining fair and orderly functioning of securities markets, and facilitating capital formation.
RSA Archer provides authoritative source content for several SEC guidelines including:
This content is available in English only.
The following guidelines have mappings for the U.S. Securities and Exchange Commission (SEC) to the RSA Archer Control Standard Library are available in the authoritative source content pack:
Links to the content sources are provided above.
The U.S. Securities and Exchange Commission (SEC) Investment Advisers Act Authoritative Source is available with the use of the RSA Archer Policy Program Management, RSA Archer Controls Monitoring Program Management, and/or RSA Archer Authorization and Assessment use cases. No additional license is required.
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