Steven Peretz

Steven Peretz

McGuireWoods LLP

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Financial Services Regulators and SROs Continue to React to COVID-19 Developments

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

4/9/2020  /  Coronavirus/COVID-19 , Financial Industry Regulatory Authority (FINRA) , Form CRS , Registered Investment Companies (RICs) , Securities and Exchange Commission (SEC) , SRO
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