The SEC opened a new comment period on a proposal to adopt a voluntary three-year pilot program to allow broker-dealers to conduct annual office inspections remotely.
News & Insights
In the latest update on its COVID-19 Response website, the SEC stated that it will remain in "full telework posture with limited exceptions" until at least January 3, 2022.
In the latest update on the SEC COVID-19 Response website, the agency stated that it will remain in "full telework posture with limited exceptions" until at least November 1, 2021.
The SEC Division of Corporation Finance and the Division of Investment Management encouraged issuers to allow shareholder proponents to present their proposals through "alternative means" during the 2020 and 2021 proxy seasons.
FINRA, the North American Securities Administrators Association and SEC Office of Investor Education and Advocacy staff provided joint guidance as to the heightened risk of financial exploitation associated with social isolation.