Mediant Expands Securities Operations Regulatory Update

New Features Include Notable Enforcement Actions

New York – August 1, 2017 – Mediant, a leading provider of investor communications solutions, expanded its Securities Operations Regulatory Update (SORU), a monthly guide to pending regulatory changes and topical regulatory alerts relevant to securities operations. Subscribers to this complimentary publication receive access to updates on key regulatory issues, helpful synopses that clarify the reasons and implications behind new legislation and regulatory changes, and critical information regarding the impact of these changes to compliance programs and regulatory requirements.

The enhancements include two new sections:

  • Take Action Now highlights important regulatory changes, such as the SEC’s shortening of the settlement cycle to T+2, and provides practical, concrete actions that firms may take to prepare for changes.
  • Notable Enforcement Actions summarizes operational violations that often result in significant fines, serving as warnings for firms to remain focused on compliance and avoid similar outcomes.

“Mediant stays at the forefront of the rapidly changing regulatory landscape on behalf of our clients,” said Arthur Rosenzweig, CEO of Mediant. “Our SORU publication provides timely updates, concise summaries, highlights of actionable events, links to source documents, and a heads-up on enforcement actions.”

The SORU, which is distributed to over a thousand compliance professionals and operations managers in the broker-dealer community, is part of Mediant’s broader Regulatory Compliance Service. Mediant’s clients receive extensive regulatory compliance support, including tutorials, memoranda, templates, advocacy, and expertise to assist them in implementing necessary regulatory changes. The service saves clients on compliance costs, in some cases eliminating hundreds of thousands of dollars of overspending in clarifying a single regulatory issue. Underlying Mediant’s Regulatory Compliance Service is a comprehensive set of Business Rules built into its advanced MIC technology platform.

To learn more about Mediant’s SORU or to subscribe to this complimentary, monthly publication visit

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