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If the accountant failed to do the exam within the deadline due to the "logistical disruptions" caused by COVID-19, the filing deadline can be extended
The Request asks about non-compliance with Rule 15c3-1 if broker-dealers treat certain receivables resulting from bank sweep programs as allowable assets
Investment advisers will be able to borrow from sister funds during the coronavirus pandemic, the SEC has announced. The March 23 order allows funds to ...
The Commission has been monitoring the effects of COVID-19 and is now extending the exemptions with certain modifications in light of its current understanding of ...
The health and safety of all participants in the securities markets is of paramount importance
You state that, because of the coronavirus disease (COVID-19) outbreak, there is a short- term dislocation in the market for a variety of debt securities
The disruptions resulting from COVID-19 mentioned above could hamper the efforts of municipal advisors to timely meet filing deadlines for annual updates to Form MA
We are adopting temporary final rules for Form ID filers and for issuers subject to reporting obligations pursuant to Regulation Crowdfunding and Regulation A
Today’s Orders supersede and extend the filing periods covered by the Commission’s Original Orders of March 13, 2020
The SEC considers a "firm’s business continuity plan in response to circumstances related to coronavirus disease 2019"
