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 2020-10Featured Issue: October 2020

In addition to the continuation of regulatory actions related to temporary rules due to the pandemic, this month’s SORU includes blurbs discussing the material amendments to Rule 15c2-11, changes to Codes of Arbitration Procedures relating to Customer Dispute Information, and changes to the OCC’s stock loan close-out process.

 

 

 

 

Securities Operations Regulatory Update

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Securities Operations Regulatory Update

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