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_July2021_Page_1Featured Issue: July 2021

SEC Chair signals further regulatory action on proxy voting advice may be forthcoming. See this month’s SORU for statements from the SEC Chair and Commissioners regarding the need to revisit 2020 rule amendments and 2019 guidance concerning application of the proxy rules to the proxy voting advice business.





Securities Operations Regulatory Update

Previous ISSUES

Securities Operations Regulatory Update

To access additional issues, please subscribe here.

Contact us