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_Feb2021Featured Issue: February 2020

After a busy December, the regulators appear to have slowed down in January. Of course, the reduced number of regulatory actions may also have to do with the changing of the guard at the SEC. As for enforcement actions, technology hiccups and improper regulatory reporting take center stage.

 

 

 

 

Securities Operations Regulatory Update

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Securities Operations Regulatory Update

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