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: July 2018

See this month’s SORU for an opportunity to weigh in on SEC initiatives for the coming years. The SEC has issued a 2018-2022 Draft Strategic Plan and is soliciting comments from the public to guide Commission priorities.

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