Vedder Price Coronavirus Task Force
Investment Services Resources
The ongoing coronavirus pandemic has had a significant impact on the investment industry, which will continue to develop as more governmental and regulatory agencies respond to the crisis.
Vedder Price’s Investment Services group has set up this page to help investors and investment industry professionals stay abreast of the many legal considerations associated with the pandemic. As regulators issue further guidance, and new developments take shape, we will update this list with our latest client bulletins and links to the most current external resources.
Related Vedder Thinking:
May 14, 2020 | Newsletter/Bulletin
Priorities of the SEC Division of Enforcement’s Coronavirus Steering Committee
May 5, 2020 | Newsletter/Bulletin
Regulation Best Interest Update OCIE Risk Alert on Initial Examinations
May 5, 2020 | Newsletter/Bulletin
Form CRS Update – OCIE Risk Alert on Initial Examinations
April 30, 2020 | Newsletter/Bulletin
New SEC Guidance on PPP Loans, Form ADV Brochure Delivery and the Custody Rule
April 27, 2020 | Newsletter/Bulletin
Board Oversight in the Age of COVID-19: Part Six
April 20, 2020 | Newsletter/Bulletin
Board Oversight in the Age of COVID-19: Part Five
April 16, 2020 | Newsletter/Bulletin
COVID-19 ALERT: Special Considerations for Registered Closed-End Funds
April 13, 2020 | Newsletter/Bulletin
Board Oversight in the Age of COVID-19: Part Four
April 8, 2020 | Newsletter/Bulletin
COVID-19 Update – FINRA Guidance and Regulatory Relief
April 7, 2020 | Newsletter/Bulletin
Board Oversight in the Age of COVID-19: Part Three
April 7, 2020 | Newsletter/Bulletin
COVID-19 Update – CARES Act Provisions Affecting the Asset Management Industry
April 6, 2020 | Newsletter/Bulletin
COVID-19 Update—“Essential” Investment Company/Advisory Functions in the Wake of Shelter in Place Orders
April 6, 2020 | Webinar
The CARES Act for Investment Advisers
April 1, 2020 | Newsletter/Bulletin
Investment Services Regulatory Update
Special Issue on COVID-19 Related Developments
March 31, 2020 | Newsletter/Bulletin
SEC Updates Investment Company Act Exemptive Order in Response to COVID-19
March 31, 2020 | Newsletter/Bulletin
Board Oversight in the Age of COVID-19: Part Two
March 27, 2020 | Newsletter/Bulletin
COVID-19 Update—SEC Staff Expands Exchange Act, Form ADV and Form PF Filing Relief
March 27 2020 | Newsletter/Bulletin
SEC Issues Temporary Borrowing Relief for Mutual Funds and Insurance Company Separate Accounts
March 27, 2020 | Newsletter/Bulletin
Strategies for Funds Facing Liquidity Issues as a Result of the COVID-19 Pandemic
March 26, 2020 | Newsletter/Bulletin
SEC Staff Issues Statement on Regulation S-T Manual Signature Requirements
March 25, 2020 | Newsletter/Bulletin
COVID-19 Update – SEC Staff Issues Guidance for Conducting Annual Meetings
March 23, 2020 | Newsletter/Bulletin
Federally Covered Advisers – State Notice Filings and Investment Adviser Representative Registration Concerns under COVID-19
March 23, 2020 | Newsletter/Bulletin
Board Oversight of COVID-19 Related Matters
March 18, 2020 | Newsletter/Bulletin
NFA Issues COVID-19 Alert on Business Continuity Plans, Relief for Branch Office Requirements and Reminder on Upcoming Deadline for CTA-PR Filing Relief
March 17, 2020 | Newsletter/Bulletin
COVID-19 Update – Limited Form ADV & Form PF Filing Relief
March 16, 2020 | Newsletter/Bulletin
SEC Issues New Exemptive Order in Response to COVID-19
March 16, 2020 | Webinar
Live Webinar: Coronavirus Impacts on Funds and Investment Advisers
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External Resources:
FINRA
- FINRA Rules & Guidance Related to COVID-19
- Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
- Proposed Rule Change to Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules During the Outbreak of the Coronavirus Disease (COVID-19) (May 8, 2020)
- FINRA Reminds Firms to Beware of Fraud During the Coronavirus (COVID-19) Pandemic (May 5, 2020)
- Cybersecurity Alert: Measures to Consider as Firms Respond to the Coronavirus Pandemic (March 26, 2020)
- Pandemic-Related Guidance in Connection with Company-Related Action Submissions (March 12, 2020)
- FINRA Regulatory Notice: Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief (March 9, 2020)
MSRB
- COVID-19 Information
- MSRB Enhances Usability of Disclosure Summary Report about Impact of COVID-19 (May 12, 2020)
- MSRB Amends Certain Rules to Provide Regulatory Relief During COVID 19 Pandemic (April 9, 2020)
- MSRB Suspends Price Variance Alerts for Dealers (March 23, 2020)
- MSRB Notice: MSRB Reminds Regulated Entities of Application of Supervisory Requirements in Light of Coronavirus (March 9, 2020)
SEC
- COVID-19 Market Monitoring Group — Update and Current Efforts (May 13, 2020)
- In Response to Self-Executing Congressional Mandates, SEC Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds (April 8, 2020)
- SEC Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS (April 7, 2020)
- SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19 (March 26, 2020)
- SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment Advisers Affected By Coronavirus Disease 2019 (COVID-19) (March 25, 2020)
- SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the Coronavirus Disease 2019 (COVID-19) (March 22, 2020)
- SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus (March 23, 2020)
- SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by COVID-19 (March 13, 2020)
- SEC Provides Conditional Regulatory Relief and Assistance for Companies Affected by the Coronavirus Disease 2019 (COVID-19) (March 4, 2020)
CFTC/NFA
- CFTC Coronavirus Guidance Page
- NFA Updates and Guidance for COVID-19/Coronavirus
- NFA-CFTC Temporary Relief for Persons Required to Submit Fingerprints in Connection with Applying for Registration as an Associated Person or Being Listed as a Principal of a Registrant (April 24, 2020)
- NFA-CFTC Temporary Relief for Commodity Pool Operators (March 20, 2020)
- NFA Notice to Members: Information on CFTC Regulatory Reporting Requirements (March 12, 2020)
- NFA-CFTC Notice to Members: Information on Coronavirus/COVID-19 (March 4, 2020)
FCA
- Statement on How Firms Should Handle Post and Paper Documents (May 13, 2020)
- FCA Expectations for Wet-Ink Signatures in Light of Coronavirus (COVID-19) Restrictions (April 20, 2020)
- Impact of the Coronavirus on Firms’ LIBOR Transition Plans (March 25, 2020)
- FCA information for firms on Coronavirus (Covid-19) response (March 17, 2020)
- FCA Statement on Covid-19 (March 4, 2020)
FFIEC
CBOE
- CBOE Business Continuity Plan & COVID-19 Updates
- CBOE Global Markets to Suspend Open Outcry Trading on Chicago Trading Floor as Precautionary Measure (March 12, 2020)
- Novel Coronavirus Update (May 14, 2020)
CME Group
- CME Group Chairman & CEO Annual Meeting Remarks on Reopening Trading Floor (May 6, 2020)
- Updated Trading Community Q&A (March 27, 2020)
- Ways to Access Markets During Close of Chicago Trading Floor (March 12, 2020)
- CME Group to Close Chicago Trading Floor as a Precaution (March 11, 2020)
ICE/NYSE
- Market Resiliency During Times of Extreme Volatility (Actions, Rules and Market Mechanisms)
- A Necessary Step: All-Electronic Trading at the NYSE (March 23, 2020)
- COVID-19: Preparedness and Market Navigation (March 6, 2020)
OCC
NASDAQ
- ICI Resources on Coronavirus Disease (ICI)
- The Novel Coronavirus – Common Practices Amongst the Financial Industry for Responding to COVID-19 (SIFMA)
- Illustrative Example of Financial Firm Pandemic Planning (SIFMA)
- Management Checklist for Teleworking Surge During COVID-19 Response (Healthcare & Public Health Sector Coordinating Councils)
- Business Continuity Planning and COVID-19 (SIFMA)
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Vedder Thinking
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May 14, 2020 | Newsletter/Bulletin
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May 6, 2020 | Newsletter/Bulletin
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May 5, 2020 | Newsletter/Bulletin
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May 5, 2020 | Newsletter/Bulletin
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April 30, 2020 | Newsletter/Bulletin
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April 27, 2020 | Newsletter/Bulletin
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April 20, 2020 | Newsletter/Bulletin
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April 16, 2020 | Newsletter/Bulletin
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April 13, 2020 | Newsletter/Bulletin
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April 8, 2020 | Newsletter/Bulletin
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April 7, 2020 | Newsletter/Bulletin
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April 7, 2020 | Newsletter/Bulletin
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April 6, 2020 | Newsletter/Bulletin
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April 6, 2020 | Webinar
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April 1, 2020 | Newsletter/Bulletin
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March 31, 2020 | Newsletter/Bulletin
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March 27, 2020 | Newsletter/Bulletin
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March 27, 2020 | Newsletter/Bulletin
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March 2020 | Newsletter/Bulletin
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March 26, 2020 | Newsletter/Bulletin
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March 25, 2020 | Newsletter/Bulletin
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March 23, 2020 | Newsletter/Bulletin
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March 23, 2020 | Newsletter/Bulletin
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March 17, 2020 | Newsletter/Bulletin
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March 16, 2020 | Newsletter/Bulletin
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March 16, 2020 | Webinar
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