News & Analysis as of

Relief Measures Securities and Exchange Commission (SEC) Reporting Requirements

Latham & Watkins LLP

FINRA Releases Long-Anticipated Guidance on New Work-From-Home Exemption Ahead of Impending COVID-19 Relief Expiration

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FINRA’s guidance sheds further light on the new rule, which will permit firms to elect “non-branch” designation for a private residence where an associated person conducts specified supervisory activities....more

Goodwin

FinCEN Issues NPRM Regarding Access to Beneficial Ownership Information and Related Safeguards

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Regulatory Developments - FinCEN Issues NPRM Regarding Access to Beneficial Ownership Information and Related Safeguards - On December 15, FinCEN issued a Notice of Proposed Rulemaking (NPRM) that would implement...more

Goodwin

SEC Finalizes Reforms Under Investment Advisers Act

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In this Issue. The Securities and Exchange Commission (SEC) finalized reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to solicitors, and published a risk...more

Goodwin

OCC Proposes Rules for CRA Benchmarks and Fair Access

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In the News. The Office of the Comptroller of the Currency (OCC) issued a long-awaited rule seeking comment on its proposed approach to determine the Community Reinvestment Act (CRA) evaluation measure benchmarks, retail...more

Goodwin

SEC Adopts Rule Providing New Regulatory Framework For Fund-Of-Funds

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In the News. The Securities and Exchange Commission (SEC) announced that it adopted Rule 12d1-4 under the Investment Company Act of 1940 (the 1940 Act), providing a new regulatory framework for fund-of-funds and final...more

BCLP

SEC extends temporary COVID-19 relief for some submissions

BCLP on

In light of health, transportation and logistical issues raised by COVID-19, the SEC staff recently extended previously announced relief for several types of submissions. ..Form 144 paper filings and certain forms (other...more

Mayer Brown Free Writings + Perspectives

Consider Form S-3 Eligibility as the COVID-19 Relief Deadline Approaches

General Instruction I.A.3 of Form S-3 requires an issuer to have timely filed all periodic reports (Section 13(a) or 15(d) reports and Section 14(a) and 14(c) materials) during the preceding 12 calendar months in order to be...more

Morrison & Foerster LLP

U.S. SEC Staff Issues Guidance Regarding On-Going Exchange Act Reporting And Registered Securities Offerings In Light Of COVID-19

On May 4, 2020, the U.S. SEC’s Division of Corporation Finance (the “Staff”) published four “FAQs” relating to the application of the Commission’s March 25, 2020 Order (the “COVID-19 Order”) providing extended deadlines for...more

Brownstein Hyatt Farber Schreck

More Coronavirus Updates from the SEC

SEC Issues New Order Further Extending Temporary Filing Deadline Extension for Public Companies; Also Issues Additional Guidance on COVID-19 Disclosure - On March 25, 2020, the U.S. Securities and Exchange Commission (SEC)...more

Dorsey & Whitney LLP

SEC Filing Deadlines for Canadian Issuers

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During the current coronavirus crisis, the SEC has issued an Order providing filing extensions that apply to Canadian issuers. The following is a summary of the SEC’s new filing requirements....more

Benesch

Update to SEC Reporting Relief

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Update: SEC extends conditional relief from reporting deadlines, urges public companies to be mindful of corporate controls and procedures as the division of corporation finance provides relief on manual signature...more

Stinson - Corporate & Securities Law Blog

Examples of Companies Relying on SEC Order to File Late Reports as a Result of COVID-19

We previously noted that as a result of COVID-19 the SEC, pursuant to an order, provided publicly traded companies with an additional 45 days to file certain disclosure reports if designated conditions were met. One of the...more

Morrison & Foerster LLP

SEC Relief For Registered Transfer Agents Affected By COVID-19

On March 20, 2020, in response to business disruptions caused by the spread of the coronavirus (“COVID-19”), the Securities and Exchange Commission (“SEC”) issued an exemptive order under the Securities and Exchange Act of...more

Eversheds Sutherland (US) LLP

COVID-19 - The SEC acts quickly

On Wednesday, March 4, 2020, the Securities and Exchange Commission (SEC) issued two statements intended to ease certain corporate governance and reporting obligations in light of the coronavirus disease 2019 (COVID-19). The...more

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