Securities Operations Regulatory Update

Each month, we publish the Securities Operations Regulatory Update (SORU)
as part of our Regulatory Compliance Service.

The SORU is the premier monthly guide to pending regulatory changes relevant to securities operations. Within it you will find updates on key regulatory issues important to securities operations professionals, helpful synopses to better understand reasoning and implications behind new legislation and regulatory changes, and access to critical information regarding impacts to your compliance programs and regulatory requirements.

 

Featured Issue: July 2017

The July 2017 issue of the SORU highlights important mid-year updates, such as the requirement for FINRA Member firms to begin reporting transactions in U.S. Treasury Securities via the Trade Reporting and Compliance Engine (TRACE). Notable Enforcement Actions include a case in which a firm was censured and fined $100,000.

 

 

 

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