Compliance Communications Blog: Training, Best Practices And Tips

SEC Coronavirus (COVID-19) Response

Written by Compliance Wave | March 23, 2020 at 8:39 PM

3/23/20: The Securities and Exchange Commission (SEC) has released an update on its response to COVID-19 “… and the related effects on our securities market.” One of SEC’s priorities: “… maintaining our enforcement and investor protection efforts, particularly with regard to the protection of our critical market systems and our most vulnerable investors.”  

The SEC update includes a list of what the SEC considers to be some of its most important actions during the past three months....