| Ex. AGY-FED-FINANCIAL-050 | Release No. 34-88318, Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules ThereunderOrder Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain… | Securities and Exchange Commission | United States; Securities and Exchange Commission (federal)Federal | Mar. 4, 2020 | 2020 Q2 | Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-001 | Interagency Statement on Pandemic Planning (SR 20-3 / CA 20-2)Interagency Statement on Pandemic Planning | FFIEC (transmitted by Federal Reserve SR 20-3 / CA 20-2, OCC Bulletin 2020-13, FDIC FIL-14-2020) | United States; Federal Financial Institutions Examination Council on behalf of the Federal Reserve Board, FDIC, OCC, NCUA, CFPB and State Liaison Committee (federal interagency)Federal | Mar. 6, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Telework mandateWorkplace rulesOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-002 | Joint press release and statement of March 9, 2020Agencies encourage financial institutions to meet financial needs of customers and members affected by coronavirus | Federal Reserve Board, CFPB, FDIC, NCUA, OCC and CSBS | United States; Federal Reserve Board, FDIC, OCC, NCUA, CFPB and Conference of State Bank Supervisors (federal and State interagency)Federal | Mar. 9, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Other | Primary source read | |
| Ex. AGY-FED-FINANCIAL-074 | FINRA Regulatory Notice 20-08Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief | FINRA | United States; Financial Industry Regulatory Authority (self-regulatory organization registered under Exchange Act § 15A, 15 U.S.C. § 78o-3, subject to SEC oversight)Sector regulator | Mar. 9, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Telework mandateWorkplace rulesOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-090 | EXIM relief measures of March 12, 2020 (waivers, deadline extensions, streamlined processing and flexibility for an initial 30-day period)EXIM Extends Program Waivers, Extensions, and Other Provisions to U.S. Customers and Lenders Amid COVID-19 Outbreak | Export-Import Bank of the United States (President and Chairman Kimberly A. Reed) | United States; Export-Import Bank of the United States (federal export credit agency)Federal | Mar. 12, 2020 | 2020 Q2 | Other | Primary source read | |
| Ex. AGY-FED-FINANCIAL-003 | SR 20-4 / CA 20-3Supervisory Practices Regarding Financial Institutions Affected by Coronavirus | Board of Governors of the Federal Reserve System, Division of Supervision and Regulation and Division of Consumer and Community Affairs | United States; Board of Governors of the Federal Reserve System (federal)Federal | Mar. 13, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Business closureOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-004 | OCC Bulletin 2020-15Pandemic Planning: Working With Customers Affected by Coronavirus and Regulatory Assistance | Office of the Comptroller of the Currency | United States; Office of the Comptroller of the Currency (federal)Federal | Mar. 13, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Business closureOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-005 | FIL-17-2020Regulatory Relief: Working with Customers Affected by the Coronavirus | Federal Deposit Insurance Corporation | United States; Federal Deposit Insurance Corporation (federal)Federal | Mar. 13, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Business closureOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-006 | Frequently Asked Questions for Financial Institutions Affected by the Coronavirus Disease 2019 (transmitted by FIL-18-2020, updated through 2020)Frequently Asked Questions for Financial Institutions Affected by the Coronavirus Disease 2019 (Referred to as COVID-19) | Federal Deposit Insurance Corporation | United States; Federal Deposit Insurance Corporation (federal)Federal | Mar. 13, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Business closureOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-030 | Letter to Federal Credit Unions 20-FCU-02NCUA Actions Related to COVID-19 - Annual Meeting Flexibility | NCUA Chairman Rodney E. Hood | United States; National Credit Union Administration (federal)Federal | Mar. 1, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Gathering capOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-051 | Investment Company Act Release No. 33817, Order Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus DeliveryOrder Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement… | Securities and Exchange Commission | United States; Securities and Exchange Commission (federal)Federal | Mar. 13, 2020 | 2020 Q2 | Gathering capOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-052 | 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 ThereunderOrder 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 | Mar. 13, 2020 | 2020 Q2 | Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-053 | Staff Guidance for Conducting Shareholder Meetings in Light of COVID-19 Concerns (issued March 13, 2020; updated April 7, 2020; further updated January 19, 2022)Staff Guidance for Conducting Shareholder Meetings in Light of COVID-19 Concerns | SEC Division of Corporation Finance | United States; Securities and Exchange Commission, Division of Corporation Finance (federal staff guidance)Federal | Mar. 13, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Gathering capOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-057 | Investment Company Act Release No. 33824, Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus DeliveryOrder Under Section 6(c) and Section 38(a) of the Investment Company Act Granting Exemptions from Specified Provisions and Commission… | Securities and Exchange Commission | United States; Securities and Exchange Commission (federal)Federal | Mar. 25, 2020 | 2020 Q22020 Q3 | Gathering capOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-058 | Investment Advisers Act Release No. 5469, Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules ThereunderOrder Under Section 206A of the Investment Advisers Act Granting Exemptions from Specified Provisions and Certain Rules Thereunder | Securities and Exchange Commission | United States; Securities and Exchange Commission (federal)Federal | Mar. 25, 2020 | 2020 Q22020 Q3 | Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-064 | Investment Company Act Release No. 33897, Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder [In-Person Board Relief]Order Extending the In-Person Board Meeting Relief for Registered Management Investment Companies and Business Development Companies | Securities and Exchange Commission | United States; Securities and Exchange Commission (federal)Federal | June 19, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Gathering capOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-028 | Board statement of March 15, 2020, Federal Reserve Actions to Support the Flow of Credit to Households and BusinessesFederal Reserve Actions to Support the Flow of Credit to Households and Businesses | Board of Governors of the Federal Reserve System | United States; Board of Governors of the Federal Reserve System (federal)Federal | Mar. 15, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Emergency declarationOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-025 | FinCEN Notice of March 16, 2020The Financial Crimes Enforcement Network (FinCEN) Encourages Financial Institutions to Communicate Concerns Related to the Coronavirus… | Financial Crimes Enforcement Network | United States; Financial Crimes Enforcement Network, Department of the Treasury (federal)Federal | Mar. 16, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Other | Primary source read | |
| Ex. AGY-FED-FINANCIAL-029 | Letter to Credit Unions 20-CU-02NCUA Actions Related to COVID-19 | NCUA Chairman Rodney E. Hood | United States; National Credit Union Administration (federal)Federal | Mar. 1, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Business closureGathering capOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-031 | Letter to Credit Unions 20-CU-03Identification of Essential Critical Infrastructure Workers During COVID-19 | NCUA | United States; National Credit Union Administration (federal)Federal | Mar. 1, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Stay-at-homeTravel and quarantine | Primary source read | |
| Ex. AGY-FED-FINANCIAL-032 | Letter to Credit Unions 20-CU-05Offsite Examination and Supervision Approach | NCUA | United States; National Credit Union Administration (federal)Federal | Mar. 1, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-054 | Release No. 34-88448, Order Under Sections 17A and 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder [for Registered Transfer Agents and Certain Other Persons]Conditional Exemptive Order: Relief for Registered Transfer Agents and Certain Other Persons Affected by COVID-19 | Securities and Exchange Commission | United States; Securities and Exchange Commission (federal)Federal | Mar. 20, 2020 | 2020 Q2 | Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-007 | Interagency Statement on the Use of Capital and Liquidity BuffersStatement on the Use of Capital and Liquidity Buffers | Board of Governors, FDIC and OCC | United States; Federal Reserve Board, FDIC and OCC (federal interagency)Federal | Mar. 17, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Other | Primary source read | |
| Ex. AGY-FED-FINANCIAL-067 | CFTC Staff Letter No. 20-02 (No-Action)No-Action Positions for Certain Members of Designated Contract Markets and Swap Execution Facilities to Facilitate Physical Separation in… | CFTC Division of Swap Dealer and Intermediary Oversight (Director Joshua B. Sterling) and Division of Market Oversight | United States; Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight (federal staff no-action letter)Federal | Mar. 17, 2020 | 2020 Q22020 Q32020 Q42021 Q1 | Telework mandateWorkplace rulesOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-068 | CFTC Staff Letter No. 20-03 (No-Action)Temporary Relief for Futures Commission Merchants and Introducing Brokers to Facilitate Physical Separation in Derivatives Industry Response… | CFTC Division of Swap Dealer and Intermediary Oversight | United States; Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight (federal staff no-action letter)Federal | Mar. 17, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q2 | Telework mandateWorkplace rulesOther | Primary source read | |