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 2020-01 Featured Issue: January 2020

As this month’s SORU indicates, the proxy process continues to be a priority for the SEC going into 2020.

 

 

 

Securities Operations Regulatory Update

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Securities Operations Regulatory Update

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