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For updates and guidance related to COVID-19 / Coronavirus, click here.

SEC Guidance and Resources Relevant to Member Firms

SEC's COVID-19 Response page

https://www.sec.gov/sec-coronavirus-covid-19-response

606 Relief

https://www.sec.gov/rules/exorders/2020/34-88478.pdf

Frequently Asked Questions Concerning the COVID-19 Pandemic and the Broker-Dealer Financial Responsibility Rules

https://www.sec.gov/tm/faq-covid-19-broker-dealer-financial-responsibility-rules

Reg S-T Relief to Allow for Electronic Signatures

https://www.sec.gov/corpfin/announcement/staff-statement-regarding-rule-302b-regulation-s-t-light-covid-19-concerns

SEC Provides for Phased CAT Broker-Dealer Reporting Timelines with Conditional Exemption for Impacts of COVID-19

https://www.sec.gov/news/press-release/2020-92

SEC Statement on Regulation Best Interest and Form CRS

https://www.sec.gov/news/public-statement/statement-clayton-investors-rbi-form-crs

Staff Statement Regarding Temporary International Mail Service Suspensions to Certain Jurisdictions Related to the COVID-19 Pandemic

https://www.sec.gov/tm/temporary-international-mail-service-suspension

Statement by the Enforcement Division

https://www.sec.gov/news/public-statement/statement-enforcement-co-directors-market-integrity

Temporary CAT Relief

https://www.sec.gov/news/public-statement/statement-clayton-cat-covid-19-nal-cybersecurity-2020-03-17

https://www.sec.gov/divisions/marketreg/mr-noaction/2020/consolidated-audit-trail-reporting-031620.pdf

https://www.sec.gov/rules/exorders/2020/34-88393.pdf

Updated Division of Trading and Markets Staff Statement Regarding Requirements for Certain Paper Submissions in Light of COVID-19 Concerns

https://www.sec.gov/tm/paper-submission-requirements-covid-19-updates-061820