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 2018

Upcoming events show a renewed interest by the SEC in proxy issues. See this month’s SORU for notices of a roundtable to be held in the Fall for the purpose of determining whether the Commission’s proxy rules should be refined. Additionally, the agenda for the September 13, 2018 meeting of the Investor Advisory Committee includes panel discussions on the U.S. proxy voting infrastructure.

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