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 2019

This month’s SORU provides important information regarding the SEC’s rulemaking and examination priorities for the coming year. Additionally, the New Year brings a host of SRO pilot extensions and fee changes, which are generally effective upon filing, as these organizations adjust to an increasingly competitive environment.

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