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 2019

See this month’s SORU for the long-awaited SEC “Regulation Best Interest” and related rules and interpretations. Under Regulation Best Interest, broker-dealers will be required to act in the best interest of the customer when making a recommendation of any securities transaction or investment strategy to a retail customer, a significant change from the suitability standard to which broker-dealers currently are held.

Previous ISSUES

To access additional issues, please subscribe here.

Thank you!

Your message was successfully sent.