U.S. Securities and Exchange Commission (SEC) Authoritative Source Content

Document created by Christine Tran Employee on Nov 6, 2018Last modified by Susan Read-Miller on Nov 27, 2018
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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:

 

Languages

This content is available in English only.

 

Mappings

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:

 

Content Source

Links to the content sources are provided above.

 

Licensing Restrictions

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.

 

 

For More Information

To learn more about the U.S. Securities and Exchange Commission (SEC) Authoritative Source Content:

 

For Additional Support

To learn more about this content, please contact your Account Rep for additional details. For technical support questions, please open a support case or contact RSA Archer at archersupport@rsa.com for more information.

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