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: December 2018

This month’s SORU reflects the SEC’s continuing focus on enhancing disclosure, with changes to Reg NMS requiring additional disclosures regarding order handling and approval of an Options Clearing Corporation supplement to the Options Disclosure Document.

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