Securities and Exchange Commission (SEC)
Date: April 24, 2020
SEC Announces Cross-Divisional COVID-19 market Monitoring Group
The SEC announced the formation of a senior-level internal cross-divisional COVID-19 Market Monitoring Group to assist the Commission with respect to actions and analysis related to the effects of COVID-19 and to respond to requests for information and assistance from regulators and others.
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Date: March 26, 2020
Temporary Extension for Updating Form MA
The SEC issued a temporary conditional exemptive order allowing municipal advisors affected by COVID-19 an additional 45 days to file annual updates to Form MA that otherwise would have been due between March 27, 2020 and June 30, 2020, subject to certain conditions. The additional time is available only to municipal advisors that are unable to meet the deadline due to COVID-19.
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Date: March 23, 2020
OCIE Statement on Examinations of SEC Registrants
The SEC’s Office of Compliance Inspections and Examinations announced that it has moved to conducting examinations of registrants off-site through correspondence, unless it is absolutely necessary to be on-site.
Katten Muchin Rosenman LLP
October 14 2020