Securities Operations Regulatory Update

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.

FEATURED ISSUE: September 2023

See this month's SORU for additional actions resulting from regulatory sweeps relating to recordkeeping requirements. To date, the SEC has brought 30 enforcement actions and ordered more than $1.5 billion in penalties for compliance failures in this area. Three takeaways from the SEC's Enforcement Director: "self-report, cooperate and remediate."

SecuritiesOperations RegulatoryUpdate

Each month, we publish the Securities Operations Regulatory Update (SORU)as part of our Regulatory Compliance Service.

FEATURED ISSUE: September 2023

To access additional issues, please subscribe here.

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Securities
Operations
Regulatory
Update

Each month, we publish the Securities Operations Regulatory Update (SORU)
as part of our Regulatory Compliance Service.