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
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/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