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RCW’s complete coverage of Covid-19 or the coronavirus

Broker-dealers who advance their customers cash from sweep accounts won’t have the outlay count against their net assets while they wait for banks to make ...
Clayton mentioned upcoming OCIE risk alerts related to examining for these new regulatory responsibilities
Mail “processing is not something that I specifically spelled out in the BCP and it has to be spelled out”
Some investors are inquiring about the health of key persons
If “logistical disruptions” caused by the coronavirus prevent the accountant from doing the surprise exam, it can be delayed
FINRA wants communication on BCPs to be a two-way street
SRO has reported seeing successful "social engineering" attacks
The Request asks about non-compliance with Rule 15c3-1 if broker-dealers treat certain receivables resulting from bank sweep programs as allowable assets
The SEC is relaxing many of its rules as the coronavirus continues to burn through the world economy, but the agency’s top enforcers have issued ...
The Commission has been monitoring the effects of COVID-19 and is now extending the exemptions with certain modifications in light of its current understanding of ...
The health and safety of all participants in the securities markets is of paramount importance
Find links to certain SEC Division of Trading and Markets-related documents in response to the effects of COVID-19
You state that, because of the coronavirus disease (COVID-19) outbreak, there is a short- term dislocation in the market for a variety of debt securities
The disruptions resulting from COVID-19 mentioned above could hamper the efforts of municipal advisors to timely meet filing deadlines for annual updates to Form MA
We are adopting temporary final rules for Form ID filers and for issuers subject to reporting obligations pursuant to Regulation Crowdfunding and Regulation A
A peer shares the firm's P&Ps for a variety of events covered in its business continuity plan
Unless you happened to be alive in 1918, during the last great global pandemic, all of this is new
There are many services designed to help you stay in touch with your colleagues should COVID-19 keep you separated for a long time
The Form ADV FAQ addresses temporary teleworking
The OCIE request raises the specter of a long stretch of working from home
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