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: March 2018

This month’s Regulatory Update demonstrates the SEC’s emphasis on a pro-active regulatory agenda as evidenced by announcement of a self-reporting initiative that relates to share class selection violations, guidance to assist public companies in preparing disclosures about cybersecurity risks and incidents, as well as examination priorities and budget requests relating to financial innovation and market structure issues such as cryptocurrency, initial coin offerings, and secondary market trading.


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