Broker-Dealers and Investment Advisers: SEC Regulatory Relief, Examinations, and Enforcement in the COVID-19 Era

Recent announcements from the US Securities and Exchange Commission (SEC) make it clear that, although it will not be business as usual, the agency will ably navigate the coronavirus (COVID-19) crisis and its work will move forward. In the last several weeks, the SEC has provided significant regulatory relief to broker-dealers and investment advisers relating to a wide range of issues and we anticipate that it will continue to do so. The Commission is also making choices about where and how to deploy its limited enforcement and examination resources, and those decisions will have a profound effect on regulated entities.

Please join our investment management and securities enforcement attorneys, including Jeff Boujoukos, former Regional Director of the SEC’s Philadelphia Office, for a discussion about the SEC’s regulatory relief and the current focus of its broker-dealers and investment adviser examination and enforcement programs in today’s unprecedented business environment.

Read our recent thought leadership on these topics:

• COVID-19: FINRA, SEC, and State Relief and Guidance for Broker-Dealers
• SEC Examinations And Enforcement in the  COVID-19 Era

QUESTIONS?

Contact Neal Geosits.