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.  

  SORU_Jan2021Featured Issue: January 2020

In addition to several significant rule changes that address evolving market structure, this month’s SORU highlights recent disciplinary actions demonstrating that regulators remain focused on core regulatory requirements such as best execution, reporting obligations, and effective AML programs.

 

 

 

 

Securities Operations Regulatory Update

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Securities Operations Regulatory Update

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