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 Staff Statement on Signatures in Connection with EDGAR Filings

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

OCIE Statement on Operations and Exams

SEC Coronavirus (COVID-19) Response

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)

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

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

CFTC Coronavirus Web Page

NASAA COVID-19 Updates

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