COVID-19 Implications for SEC and CFTC Registrants

In an attempt to adapt to the major impact of COVID-19 on the global financial markets, regulatory bodies such as the Securities & Exchange Commission (SEC), the Commodities Futures Trading Commission (CFTC), and other regulators have announced a number or recent measures that could have far reaching implications.
Our presentation provides an overview of the most recent regulatory responses to COVID-19 by the SEC, the CFTC, and others and discusses their potential ramifications.

Specific topics we address include:

• Regulatory relief;
• Topics of interest during time of stress in the financial markets;
• Operational changes; and
• “Essential” businesses under shelter orders.

Watch our presentation.
(Recorded March 25, 2020)

CLE is not available when viewing a recording of this program. In order to receive credit you must have attended the live webinar program.