Coronavirus

Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, and have “a trusted ...

Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, have “a trusted contact ...

The economic impacts of COVID-19 have underscored the obstacles that many underrepresented entrepreneurs have historically faced in raising capital

Of the minority that did report the virus impacted them, many indicated they had to enhance their BCP, ran into some internal operational issues or ...

In connection with an industry-wide response to the coronavirus disease 2019 pandemic, temporary no-action relief was granted pursuant to Letter 20-16 for persons failing to ...

We will continue to closely monitor the capital markets—and take action, including providing further regulatory relief and guidance, as appropriate

Given the idiosyncratic nature of the health and economic effects and consequences of COVID-19, we believe that analogies to the role of rating agencies in ...

The SEC also promised the Commission will issue a public announcement about the relief due to expire Dec. 31 at least two weeks before the ...

Four new or modified FAQs restate the Commission's regulatory relief for advisers due to the coronavirus

“The biggest impact is the loss of personal contact. I know employees can be hesitant to raise issues via e-mail"