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: January 2018

Legislative changes could significantly affect issuers’ financial reporting. This month’s SORU features SEC guidance relating to public disclosures of the accounting impacts of the Tax Cuts and Jobs Act to help issuers evaluate the impact of the law on their financial statements. Also, the SEC proposes to eliminate the requirement to provide hard copy proxy materials to the Exchange in certain circumstances.


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