American Financial Services Association, AFSA, 'AFSA Independents Conference & Expo Cancelled' (Mar. 13, 2020), quoting the Riverside County order cancelling events of 250 or more (Ex. SEC-13-GM-001)
LIMRA and LOMA (LL Global), LIMRA and LOMA news release (Windsor, Conn., Mar. 17, 2020): 'LIMRA and LOMA Cancel Face-To-Face Portion of Conferences in Light of Coronavirus' (2020 Customer Experience Conference, Mar. 25-27, New Orleans; 2020 Regulatory Compliance Exchange, Mar. 31-Apr. 2, Orlando; 2020 Life Insurance Conference, Apr. 20-22, and 2020 Retirement Industry Conference, Apr. 22-24, Salt Lake City) (Ex. SEC-13-GM-121)
each institution's board, under the OCC's rules (12 C.F.R. §§ 5.22, 7.2001), State corporation and banking law and the federal proxy rules, SEC Division of Corporation Finance and Division of Investment Management, Staff Guidance for Conducting Shareholder Meetings in Light of COVID-19 Concerns (Mar. 13, 2020; updated Apr. 7, 2020) (same instrument as Ex. AGY-FED-FINANCIAL-053) (Ex. SEC-13-GM-029)
each institution's board, under the OCC's rules (12 C.F.R. §§ 5.22, 7.2001), State corporation and banking law and the federal proxy rules, SEC Division of Corporation Finance and Division of Investment Management, 'Staff Guidance for Conducting Shareholder Meetings in Light of COVID-19 Concerns' (Mar. 13, 2020, as updated Apr. 7, 2020): changes of date, time or location; 'virtual' and 'hybrid' meetings 'governed by state law, where permitted, and the issuer's governing documents' (second capture; see also SEC-13-GM-029) (Ex. SEC-13-GM-126)
American Financial Services Association, AFSA, '2020 Law & Compliance Symposium Cancelled' (Apr. 20, 2020) (June 2-4, 2020, Dallas) (Ex. SEC-13-GM-015)
National Association of Federally-Insured Credit Unions (merged into America's Credit Unions in 2024), NAFCU, 'NAFCU Annual Conference canceled' (Apr. 21, 2020): 53rd Annual Conference and Solutions Expo, June 23-26, Vancouver, cancelled 'As cases of coronavirus continue to rise and uncertainty remains'; Spring Regulatory Compliance School, Board of Directors and Supervisory Committee Conference and CEOs and Senior Executives Conference previously cancelled (Ex. SEC-13-GM-104)
Independent Insurance Agents & Brokers of America (Big 'I'), Independent Agent magazine (Big 'I' house publication), '2020 Big I Virtual Legislative Conference Registration Open' (Apr. 30, 2020) (Ex. SEC-13-GM-008)
Mortgage Bankers Association, HousingWire (Phil Hall), 'Ready to go back to a live mortgage industry event? MBA, NAR, NAMB and others test the waters' (May 11, 2020) (Ex. SEC-13-GM-016)
Society for Human Resource Management, SHRM, 'SHRM 2020 Annual Conference & Expo Canceled' (May 12, 2020) (Ex. SEC-13-GM-002)
American Bankers Association, ABA Banking Journal, 'ABA Announces New Risk and Compliance Virtual Conference' (May 13, 2020) (July 28-30, 2020) (Ex. SEC-13-GM-014)
FINRA and NASAA through Prometric, FINRA, COVID-19 Frequently Asked Questions (2020 page; entries added Mar.-May 2020): Prometric test-center closure and extension of qualification examination windows (May 15, 2020) (Ex. SEC-13-GM-030)
each institution's board, under the OCC's rules (12 C.F.R. §§ 5.22, 7.2001), State corporation and banking law and the federal proxy rules, ABA Banking Journal, 'OCC Rule Clarifies Virtual Meeting Options for National Banks, Federal Thrifts' (May 27, 2020) (Ex. SEC-13-GM-027)
each institution's board, under the OCC's rules (12 C.F.R. §§ 5.22, 7.2001), State corporation and banking law and the federal proxy rules, Office of the Comptroller of the Currency, interim final rule, Director, Shareholder, and Member Meetings, 85 Fed. Reg. 31943 (May 28, 2020) (RIN 1557-AE94), effective May 28, 2020 (same instrument as Ex. AGY-FED-FINANCIAL-020) (Ex. SEC-13-GM-026)
American Financial Services Association, AFSA, 'Save the Date! 2020 Combined Annual Meeting and Independents Conference & Expo, October 4-7 at the Grand America Hotel in Salt Lake City' (June 9, 2020) (Ex. SEC-13-GM-007)
LIMRA (LL Global), LIMRA news release (Windsor, Conn., June 22, 2020): 'Former White House Insiders to Speak at LIMRA's 2020 Virtual Annual Conference' (Oct. 26-28, 2020; 'Due to restrictions brought on by the pandemic, the conference will be virtual'; 'one of the largest gatherings of executives representing all sectors of the financial services industry') (Ex. SEC-13-GM-122)
National Association of Insurance Commissioners, NAIC news release (Washington, June 26, 2020): registration open for the NAIC Summer 2020 National Meeting, 'which will be held in a virtual format over a three-week period beginning the week of July 27 and ending the week of August 10' (Ex. SEC-13-GM-120)
