As discussed in our previous alerts, over the past several weeks, the Securities and Exchange Commission (the SEC) and its staff (the Staff) have provided guidance and targeted, conditional, and temporary relief to investment...more
As discussed in our prior publication, on March 13, the Securities and Exchange Commission (SEC) issued two orders under the Investment Company Act of 1940 (the Investment Company Act) and the Investment Advisers Act of 1940...more
On March 9, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-08 to provide guidance and regulatory relief related to pandemic-related business continuity planning....more
As discussed in our prior alert, on March 4, 2020, the Securities and Exchange Commission (SEC) Division of Investment Management extended the no-action position expressed in its 2019 no-action letter to the Independent...more
Investment companies’ boards may have upcoming meetings that were planned anticipating in-person attendance, yet the spread of coronavirus (COVID-19) may alter travel plans. The Securities and Exchange Commission (SEC)...more
3/16/2020
/ China ,
Coronavirus/COVID-19 ,
Crisis Management ,
Infectious Diseases ,
Investment Adviser ,
Investment Management ,
Mutual Funds ,
New Guidance ,
No-Action Letters ,
Public Health ,
Relief Measures ,
Section 15(c) ,
Securities and Exchange Commission (SEC)