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: February 2023
This month’s SORU highlights the 2023 Report on FINRA’s Examination and Risk Monitoring Program, including a broader range of topics than in prior years and a new Financial Crimes section. The regulatory actions for January evidence several fee adjustments and proposals for new order types and the enforcement actions evidence increased regulatory scrutiny over reporting to regulators and the public.