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: August 2019

It must be summer – there is only one operations-related enforcement action to highlight this month. On the other hand, this month, several of the regulatory actions taken by the SROs appear to have a theme, DATA – out with the old – Alerts Market Data Product, in with the new – Bond New Issue Data Service, and more data available on the FINRA website related to OTC equity trading volume and ATS volume.

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