Tag: COVID-19
SEC Enforcement and COVID-19: How Lessons from the Financial Crisis Apply Today
Based on public statements, it is clear that the SEC Enforcement Staff is already thinking ahead to the types of enforcement investigations and actions that may follow the COVID-19 crisis.
May 27, 2020
Tags: Columns, Compliance Corner, Coronavirus, COVID-19, SEC Enforcement
SEC COVID-19 Market Monitoring Group Update
SEC Chairman Jay Clayton and Chief Economist S.P. Kothari issued an update on the efforts of the internal, interdisciplinary COVID-19 Market Monitoring Group.
May 19, 2020
Tags: Coronavirus, COVID-19, FSOC, Jay Clayton, Systemic Risk
The future course of the COVID-19 pandemic – and the size and duration of its economic fallout – are the most significant risks to the U.S economy and financial system, the Board of Governors of the Federal Reserve system says in its new Financial Stability Report.
May 18, 2020
Tags: Coronavirus, COVID-19, Federal Reserve Board, Financial Stability
From early February to mid-April, Federal Reserve staff surveyed 22 contacts at banks, investment firms, academic institutions, and political consultancies to gather their views on risks to U.S. financial stability.
May 18, 2020
Tags: Coronavirus, COVID-19, Federal Reserve Board, Financial Stability
SBA Extends Safe Harbor to Return PPP Loans to May 18, 2020
The Small Business Administration (SBA) issued new FAQ 47 on the Paycheck Protection Program (PPP) that extends the safe harbor deadline to return PPP loans from May 14 to May 18, 2020.
May 14, 2020
Tags: Coronavirus, COVID-19, PPP, Small Business Administration
IRS Issues FAQs on CARES Act Retirement Plan, IRA Provisions
The IRS has issued new FAQs on CARES Act provisions related to retirement plans and IRAs.
May 06, 2020
Tags: CARES Act, Coronavirus, COVID-19, IRAs, IRS, Retirement Plans
DOL Issues COVID-19 Relief from ERISA Deadlines For Plans and Participants
The DOL has provided relief from certain deadlines under ERISA “to help employee benefit plans, plan participants and beneficiaries, employers and other plan sponsors, plan fiduciaries, and other service providers impacted by the coronavirus outbreak.”
May 06, 2020
Tags: Coronavirus, COVID-19, DOL, ERISA, Retirement Plans, SBA
As part of its regulatory response to COVID-19, the SEC has issued exemptive relief to enable business development companies to make additional investments in small and medium-sized businesses.
April 17, 2020
New SEC Staff Resource for COVID-19 FAQs
The SEC’s Division of Investment Management has created a new web page that consolidate information related to the COVID-19 pandemic.
April 17, 2020
Tags: Coronavirus, COVID-19
Division of Investment Management Updates Hearing Request Procedures for Applications
The SEC’s Division of Investment Management has issued an Information Update on changes to procedures for filing hearing requests on Investment Company Act and Investment Advisers Act applications.
April 17, 2020
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