May 5, 2020

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Updates Guidance on COVID-19 Developments, SEC Publishes FAQ on Broker-Dealer Finance Responsibility Rules and EC Adopts New Measures in Response to COVID-19

Carolyn Jackson, Nathaniel Lalone, Susan Light, Stanley Polit, Neil Robson

Katten Muchin Rosenman LLP

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BROKER-DEALER -

SEC Announces Formation of Cross-Divisional COVID-19 Market Monitoring Group -

On April 24, the Securities and Exchange Commission (SEC) announced the formation of an internal, crossdivision COVID-19 Market Monitoring Group (COVID-19 Group). The COVID-19 Group will be a temporary, senior-level group that will assist various divisions and offices within the SEC with (1) developing staff actions and analysis related to COVID-19’s effect on markets, issuers and investors (including Main Street investors), and (2) responding to requests for information, analysis and assistance from other regulators and public sector partners.

Please see full publication below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.