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: June 2023

SORU June

This month’s SORU includes a Take Action Now that demonstrates the SEC’s “Broken Windows” approach to enforcement; it’s not about the fines, it’s about identifying and taking action against any firm that violates the securities laws, even if the enforcement action results in relatively smaller fines. And, sweeps are in again!

SecuritiesOperations RegulatoryUpdate

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

FEATURED ISSUE: June 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.