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 2020-06Featured Issue: June 2020

As may be expected, many of this month’s regulatory rulemaking items relate to actions taken to accommodate the Covid-19 impact on the financial services industry through the issuance of temporary rules and delays in the implementation of previously approved rules. The Notable Enforcement Actions include important SEC actions related to disclosures about routing practices and possible conflicts of interest along with actions by FINRA related to reporting obligations.

 

 

 

Securities Operations Regulatory Update

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