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 2020-08Featured Issue: August 2020

In addition to highlighting key regulatory actions by the self-regulatory agencies, this month’s SORU outlines recent rule amendments adopted by the SEC relating to proxy voting advice. The SEC also published supplementary guidance to assist investment advisers in assessing how to consider additional information that may become more readily available to them as a result of the recent proxy amendments.

 

 

 

 

Securities Operations Regulatory Update

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Securities Operations Regulatory Update

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