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_May2021_V2Featured Issue: May 2021

See this month’s SORU for a roundup of personnel changes at the SEC, including the appointment of Gary Gensler as SEC Chair.

 

 

 

 

Securities Operations Regulatory Update

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Securities Operations Regulatory Update

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