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, the Commodities Futures Trading Commission, and other regulators have announced a number or recent measures that could have far reaching implications. This 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 Matthew F. Kluchenek and Marlon Paz of Mayer Brown LLP will discuss include:

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

Program Level:  Update 

Intended Audience: Securities, derivatives, regulatory and financial services attorneys, compliance professionals, business supervisors and allied professionals

Prerequisites:  None 

Advanced Preparation:  None