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 2020-04_V3 Featured Issue: April 2020

This month’s SORU evidences that the extraordinary times in which we are living is also having a dramatic effect on the regulatory fabric of the financial markets. The SEC and SROs have both taken many emergency and temporary actions. 

 

 

 

Securities Operations Regulatory Update

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Securities Operations Regulatory Update

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