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 2019-11_V4 Featured Issue: November 2019

As this month's SORU demonstrates, self-regulatory organization rules are becoming increasingly complex. To avoid inadvertent violations, firms should update supervisory processes and written supervisory procedures to address new or amended rules, as well as products and services. 

 

 

 

Securities Operations Regulatory Update

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Securities Operations Regulatory Update

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