Securities lawyers need to have a firm grasp of not only the federal securities laws, but also how the SEC works to administer these laws. At this half-day program, you will learn about the federal securities laws and the operating divisions at the SEC that administer those laws, as well as the other agencies that the SEC interacts with on a regular basis.
Tag Archives: featured
Back to Office Guidance
From our friends at Hardin Compliance Consulting LLC, helpful guidance for broker dealers and RIAs, as they plan their return:
- Question & Answer Employer Guide: Return to the Work in the time of COVID-19 by Faegre Drinker.
- Making your Office Safe to Return after COVID-19 by Riia O’Donnell of Workest.
- Preparing for Reentry in the US by Goodwin Procter LLP.
- Reopening Your Doors – BakerHostetler’s Return to Work Toolkit
SEC extends flexibility due to COVID-19
On March 25, 2020 the SEC issued several exemptive orders to extend temporary COVID-19 relief.
· The relief further extends the filing periods covered by its previously enacted conditional reporting relief for certain public company filing obligations.
· The relief further extends regulatory relief previously provided to funds and investment advisers whose operations may be affected by COVID-19.
· The SEC and its staff also provided public company disclosure guidance.
