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

The SEC also promised the Commission will issue a public announcement about the relief due to expire Dec. 31 at least two weeks before the ...
Four new or modified FAQs restate the Commission's regulatory relief for advisers due to the coronavirus
“The biggest impact is the loss of personal contact. I know employees can be hesitant to raise issues via e-mail"
Sen. Elizabeth Warren is once more into the breach against private equity industry, demanding that one of its largest trade associations account for its eventually ...
"The health and safety of all participants in the securities markets is of paramount importance"
It is clear that the need for certain relief remains, such as relief to ensure continued remote operations and to provide flexibility in light of ...
New Jersey regulators will examine investment advisers on how well they’re protecting elder clients from fraud, state Attorney General Gurbir Grewal says. The Garden State’s ...
The COVID-19 crisis forced financial professionals to flee their offices in a hurry. Even if your cabin fever has you reaching The Shining-levels of madness, ...
Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...
FINRA’s overarching take is that broker-dealers must supervise reps’ live meetings with customers via video “in a manner reasonably designed to achieve compliance with applicable ...
"For various reasons, including the emergence of new areas of focus as a result of the general and sector-specific effects of COVID-19, it is important ...
Hester Peirce
"My hope is that we can learn from what we saw in those markets during the COVID-19 crisis to identify regulatory changes that will help ...
“We need to understand better what the heck happened here”
The Commission is issuing the Interim Final Rule as a result of the coronavirus disease 2019
“We’re encouraging our compliance officers to have standing office hours on Zoom"
Where do you fall in the work-from-home or return-to-the-office debate?
Jay Clayton
I look forward to hearing the Committee’s insights into the effects of the pandemic on the asset management industry and, in particular, our long-term Main ...
In the staff’s view, the terms and conditions of TALF 2020 are substantially similar to those of TALF 2008 for purposes of the staff no-action ...
SEC monitoring the IA and IC space for failures that could suggest underlying problems
Scams centering on account openings, firm imposters, IT help desks and e-mail
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