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
CFTC Response, Temporary Relief and Advisories
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.