COVID-19: Practice News & Industry Information

COVID-19: Practice News & Industry Information

Bates has compiled a ready resource of news and information for financial industry service firms and counsel navigating the continuing stream of new and changing regulatory requirements, client needs, risks and liabilities, and other factors of the global COVID-19 pandemic impacting the world's financial markets and economy.

White House/CDC/FEMA

How To Prepare and Protect – Coronavirus Guidelines for America (extended to April 30, 2020)


Financial Industry Oversight and Regulator Guidance

U.S. House Committee on Financial Services

SEC COVID-19 Quick Reference Guide for Investors and Market Participants

FINRA COVID-19 Guidance & Advisories

FINCEN COVID-19 Guidance

CFTC Response, Temporary Relief and Advisories

Federal Reserve COVID-19

NAIC Corona Virus Resource Page


Bates Group Resources

Coronavirus and the Approaching Business Interruption Insurance Storm 04-21-20

SEC Issues Risk Alerts on Compliance with Reg BI and Form CRS 04-09-20

Reg BI: SEC Keeps June 30 Deadline, FINRA Seeks to Amend Suitability Rule. 04-03-20

Bates Reg BI Webinars: On-Demand playback

Five Supervision, Control, and Compliance Items You Should be Considering Now 04-01-20

SEC Amends ADV Filing and Delivery Deadline Extensions due to COVID-19 03-26-20

Enforcement Warnings in the Age of the Coronavirus 03-26-20

Financial Regulatory Guidance, Assistance and Relief Roundup 03-19-20

What We Have Learned From Previous Market Downturns and Corrections 03-18-20

FINRA Postponement of In-Person Arbitration & Mediation Hearings 03-17-20

SEC Extends Form ADV Filing and Delivery Deadlines due to COVID-19 03-16-20 

Bates Group Response to COVID-19 03-13-20

Facing the Coronavirus: Financial Industry Preparations, Reassurances and Contingencies 03-05-20

Financial Services Firms: Prepare now for the coming Litigation Surge.

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