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: May 2019

SORU readers typically find a litany of notable enforcement actions each month relating to operational deficiencies and supervisory failures. A surprising trend is the decreasing number of such actions, indicating that firms may be strengthening operations and processes in response to continued regulatory focus and harsh penalties imposed for firm failures in these areas.

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