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 for 2019-12_V2 Featured Issue: December 2019

This month’s SORU includes brief descriptions of two important SEC proposals related to the shareholder-proposal rule and the proxy rules for proxy voting advice, and also highlights the SEC Conference on Macroeconomic and Structural Trends and Dynamics Affecting the Capital Markets to be held on December 4, 2019.

 

 

 

Securities Operations Regulatory Update

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