{
  "node_id": "us-sec-rule-15c3-5-market-access-risk-controls",
  "title": "US SEC Rule 15c3-5 - Market Access Rule: Risk Management Controls and Supervisory Procedures for Broker-Dealer Automated Trading Systems",
  "domain": "Workflow Automation",
  "version": "1.0.0",
  "last_updated": "2026-05-09",
  "bluf": "Every registered broker-dealer with market access to a national securities exchange or ATS, or that provides such access to customers, must establish, document, and maintain a system of risk management controls and supervisory procedures covering financial risk (pre-set credit and capital thresholds, erroneous order rejection) and regulatory risk (pre-order compliance, restricted person controls, post-trade surveillance). Financial controls must remain under the broker-dealer's direct and exclusive control. Annual effectiveness review and CEO certification are mandatory.",
  "paywall": {
    "status": "LOCKED",
    "unlock_cost_usd": "0.01",
    "skyfire_id": "41779894-ece2-4163-9761-b3b1b76e19b0"
  },
  "crosswalks": {
    "_available_keys": [
      "nist_framework",
      "iso_standard",
      "industry_mapping",
      "ai_overlay_2026"
    ],
    "_note": "Full crosswalk values included in vault response"
  },
  "dependencies": [
    "nist-csf-2-0-govern-function"
  ],
  "primary_citations_count": 6
}