Law Blog Tag: Form ADV filing requirements

SEC Provides Regulatory Relief To Hurricane Victims

October 03, 2017 in SEC

On September 28, 2017, the SEC announced interim final temporary rules (“Exemptive Order”) to provide relief to publicly trading companies, investment companies, accountants, transfer agents, municipal advisors and others affected the Hurricanes Harvey, Irma and Maria.  In addition to the interim rules, the SEC urges others not covered by the relief but affected in their Read the full article…