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_Sept2021_Page_1Featured Issue: September 2021

This month’s SORU features a request for public comment from the SEC on recent digital engagement practices (otherwise known as “gamification”) and other tools and methods employed by broker-dealers and investment advisers to attract retail investors. Are there benefits to such practices? Investor protection concerns? Now is the time to make your perspective known as the SEC considers whether regulatory action is warranted.

 

 

 

 

Securities Operations Regulatory Update

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