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_June2021Featured Issue: June 2021

This month’s SORU highlights the publication of the SEC’s Semiannual Regulatory Flexibility Agenda and several SRO actions relating to regulatory technology initiatives (e.g., approval of swap data repository, expansion of co-location services, enhancements to Nasdaq connectivity, surveillance, and risk management services). The SORU also contains numerous fee changes along with more routine SRO rule proposals.

 

 

 

 

Securities Operations Regulatory Update

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Securities Operations Regulatory Update

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