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: September 2019

See this month’s SORU for recently-issued SEC guidance to investment advisers when using the services of a proxy advisory firm. Specifically, the SEC issued an interpretation stating that proxy voting advice provided by a proxy advisory firm generally constitutes a “solicitation” under federal proxy rules and related guidance discusses the application of the proxy antifraud rule to proxy voting advice.

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