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Ex. SEC-13-025 Order Confirmed from a secondary source

Investment Advisers Act Release No. IA-5463 and Investment Company Act Release No. IC-33817 (Mar. 13, 2020) (conditional exemptive orders)

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

Securities and Exchange Commission · United States (Federal)

Source (opens in a new tab)
The COVID Project

The record

Jurisdiction
United States
Level
Federal
Authority
Investment Advisers Act sec. 206A; Investment Company Act sec. 6(c)
Issued
2020-03-13 Mar. 13, 2020
Effective
2020-03-13 (Form ADV and delivery obligations due Mar. 13-Apr. 30, 2020) (read as 2020-03-13)
End
superseded by IA-5469 (Mar. 25, 2020; relief through June 30, 2020) (read as 2020-03-25)
In force
Mar. 13, 2020 to Mar. 25, 2020
Quarters
2020 Q2
Limitation types
Gathering capOther
Addressees
  • registered investment advisers; registered funds and their boards
Functions reached
  • WM (adviser filings, client deliveries, fund board meetings)
  • OP
Collection
Financial Services SEC-13

Operative words

The impacts of the coronavirus may delay or prevent funds and advisers operating in affected areas from meeting certain regulatory obligations due to restrictions on large gatherings, travel and access to facilities. [Relief from Form ADV amendment and brochure delivery deadlines and from in-person board voting requirements.]

Enforcement

Exemptive order (conditions)

Notes

sec.gov blocked every fetch; the press release (2020-63) was read.

Retrieval note

Source read: SEC press release 2020-63 (Mar. 13, 2020).

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.