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 2020-11Featured Issue: November 2020

Despite the myriad of challenges presented by the ongoing pandemic, regulators in the financial services industry remain actively engaged in their mission to protect investors and the capital markets. Firms must remain vigilant in implementing and enforcing a stream of new and revised rules and regulations while employees work and operations occur in multiple remote locations.  

 

 

 

 

Securities Operations Regulatory Update

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Securities Operations Regulatory Update

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