U.S. SECURITIES AND EXCHANGE COMMISSION (SEC) -
SEC Staff No-Action Letter to FINRA: Allowing Technical or Temporary Relief by FINRA -
On May 13, 2020, the Staff of the SEC’s Division of Trading and Markets issued a...more
The Financial Industry Regulatory Authority (FINRA) continues to provide assistance and insight to member firms as the industry deals with COVID-19. Last week, FINRA Executive Vice President Bill Wollman participated in a...more
As reported in prior McGuireWoods alerts, financial services regulators have been issuing guidance and relief to assist the industry as financial services firms and public companies continue to deal with the impact COVID-19...more
As reported in prior McGuireWoods alerts (see April 15, April 6, March 26 and March 17 updates), financial services regulators have been issuing guidance and relief to assist the industry as financial services firms and...more
As reported in prior McGuireWoods alerts (see March 26 and March 17 updates), financial services regulators have been issuing guidance and relief to assist the industry as financial services firms and public companies...more