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Ex. AGY-FED-FINANCIAL-052 Order Primary source read

Investment Advisers Act Release No. 5463, Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder

Order Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder

Securities and Exchange Commission · United States; Securities and Exchange Commission (federal) (Federal)

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The COVID Project

The record

Jurisdiction
United States; Securities and Exchange Commission (federal)
Level
Federal
Authority
15 U.S.C. § 80b-6a
Issued
2020-03-13 Mar. 13, 2020
Effective
2020-03-13
End
Superseded March 25, 2020 by Release No. IA-5469 (Ex. 058) (read as 2020-03-25)
In force
Mar. 13, 2020 to Mar. 25, 2020
Quarters
2020 Q2
Limitation types
Telework mandateOther
Addressees
  • registered investment advisers
  • exempt reporting advisers
Functions reached
  • WM wealth and advisory (compliance and client delivery)
  • OP
  • CB clients
Collection
Federal financial regulators AGY-FED-FINANCIAL

Operative words

Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder [March 13, 2020: 45-day extension of Form ADV and Form PF filing and Form ADV Part 2 delivery obligations due on or before April 30, 2020 for advisers unable to meet them because of COVID-19]

Enforcement

Conditional exemption from 15 U.S.C. § 80b-4 and Rules 204-1, 204-3, 204(b)-1

Notes

Reached every registered adviser and its compliance function

A record of The COVID Project. The instrument's text is the source's; the summary fields are The COVID Project's reading of it. Not legal advice.