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: November 2018

In markets dominated by electronic trading and sophisticated technologies, timely and robust market data is imperative. See this month’s SORU for recent actions by the SEC regarding market data fees set by exchanges, which have been a contentious subject for over a decade.

Previous ISSUES

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