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 Feb 2020 Featured Issue: February 2020

This month’s SORU highlights numerous fees changes that evidence the competitive landscape in the financial markets.  Additionally, the regulatory blurbs discuss technology issues including: an updated EDGAR File Manual and a proposal relating to the resumption of trading following a market-wide circuit breaker halt, among other regulatory proposals.

 

 

 

Securities Operations Regulatory Update

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Securities Operations Regulatory Update

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