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SEC Guidance and Resources Relevant to Member Firms

SEC's COVID-19 Response page

606 Relief

Frequently Asked Questions Concerning the COVID-19 Pandemic and the 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

SEC Statement on Regulation Best Interest and Form CRS

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

Statement by the Enforcement Division

Temporary CAT Relief

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