SEC and Other Regulators

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SEC and Other Regulators

This constantly updated page presents links to Coronavirus-related guidance and regulatory relief from the SEC and other regulators.

SEC

Division of Investment Management Coronavirus (COVID-19) Response FAQs

Division of Investment Management Staff Statement on Importance of Delivering Timely and Material Information to Investment Company Investors

SEC Staff Guidance for Shareholder Meetings and Proxy Materials in Light of COVID-19 Concerns

SEC No-Action Relief for Affiliated Purchases of Investment Company Debt Securities 

SEC Staff Statement on Signatures in Connection with EDGAR Filings

SEC Temporary Relief from Form ID Notarization Requirement

SEC Press Release Extending the Filing Periods Covered by Relief from Form ADV and Form PF Deadlines, In-Person Fund Board Meetings, Registered Fund Filings, Prospectus Delivery, Form 13F and Schedule 13G

SEC Order Extending the Filing Periods Covered by Relief from Form ADV and Form PF Deadlines 

SEC Order Extending the Periods Covered by Relief from In-Person Fund Board Meetings, Forms N-CEN, N-PORT and N-23C-2 Deadlines 

SEC Order Extending the Period Covered by Relief from Form 13F and Schedule 13G Filings

SEC Order providing more flexibility for short-term funding (borrowing and lending) for open-end funds and insurance company separate accounts

SEC Enforcement statement on preventing the misuse of MNPI during COVID-19

OCIE Statement on Operations and Exams

SEC No-Action Relief for Money Market Fund Affiliated Purchases

OCIE Request for Firm Information about BCPs in Response to COVID-19 

SEC Coronavirus (COVID-19) Response

SEC Order Providing Relief from ADV and Form PF Deadlines

SEC Order Providing Relief from In-Person Fund Board Meetings, Forms N-CEN, N-PORT and N-23C-2 Deadlines

SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by the Coronavirus Disease 2019 (COVID-19)

SEC Press Release: SEC Provides Conditional Regulatory Relief and Assistance for Companies Affected by the Coronavirus Disease 2019 (COVID-19)

SEC Order: Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder

Division of Investment Management Staff Statement on Fund Board Meetings and Unforeseen or Emergency Circumstances Related to Coronavirus Disease 2019 (COVID-19)

 

Other Regulators

IRS FAQ on CARES Act Provisions for Retirement Plans and IRAs

DOL EBSA COVID-19 Updates

IRS Coronavirus Tax Relief

Basel Committee and IOSCO Announce One-Year Delay of Final Implementation Phases of Margin Requirements for Non-Centrally Cleared Derivatives

FINRA Chart of State “Shelter-in-Place” and “Stay-at-Home” Orders

FINRA Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief, Regulatory Notice 20-08

NFA Updates and Guidance for COVID-19/Coronavirus

Federal Financial Institutions Examination Council (FFIEC) Interagency Statement on Pandemic Planning

CFTC Coronavirus Web Page

CFTC Relief for CPOs from filing deadlines for Form CPO-PQR, Pool Annual Reports, and Pool Periodic Account Statements

FCA information for firms on Coronavirus (Covid-19) response

FCA short selling restrictions and prohibitions

ESMA information on short selling

NASAA COVID-19 Updates

European Data Protection Board statement on processing personal data under GDPR in the context of COVID-19