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_Oct2022Featured Issue: October 2022

This month’s SORU contains the usual regulatory price changes and both proposed and approved new rules relating to, among other things, a potential new exchange, a new SEC crypto office, regulatory risk management frameworks, and BrokerCheck disclosure. Additionally, the Notable Enforcement Actions highlight three major SEC actions relating to Regulation S-P, municipal bond offering disclosure requirements, and the municipal advisor registration rule, with the last two being first time SEC actions in those areas.

 

 

 

 

Securities Operations Regulatory Update

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Securities Operations Regulatory Update

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