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:

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.

Read more here

Learn How the SEC Works. . .

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.  Join us on October 17th, at this half-day program, to 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.

Securities Law and Practice 2019