| Ex. SEC-13-059 | Executive Order 2020-30 (COVID-19 Executive Order No. 28)Executive Order in Response to COVID-19 (residential eviction filings barred; non-residential eviction enforcement barred; consular… | Governor JB Pritzker | IllinoisState | Apr. 23, 2020 | 2020 Q22020 Q32020 Q4 | Courts and public officesOther | Primary source read | |
| Ex. SEC-13-007 | Regulation D: Reserve Requirements of Depository Institutions (interim final rule), 85 Fed. Reg. 23445 (Apr. 28, 2020), Docket No. R-1715Regulation D: Reserve Requirements of Depository Institutions | Board of Governors of the Federal Reserve System | United StatesFederal | Apr. 24, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Other | Primary source read | |
| Ex. SEC-13-GM-008 | Independent Agent magazine (Big 'I' house publication), '2020 Big I Virtual Legislative Conference Registration Open' (Apr. 30, 2020)Big 'I' Legislative Conference (independent insurance agents' Washington fly-in) | Independent Insurance Agents & Brokers of America (Big 'I') | Washington, DCOrganizer | Apr. 30, 2020 | 2020 Q2 | Organizer notice | Primary source read | |
| Ex. SEC-13-020 | Extension of Certain Timeframes for Employee Benefit Plans, Participants, and Beneficiaries Affected by the COVID-19 Outbreak (Joint Notice), 85 Fed. Reg. 26351 (May 4, 2020)Extension of Certain Timeframes for Employee Benefit Plans, Participants, and Beneficiaries Affected by the COVID-19 Outbreak | Department of Labor (EBSA) and Department of the Treasury (IRS) | United StatesFederal | Apr. 28, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Other | Primary source read | |
| Ex. SEC-13-GM-016 | HousingWire (Phil Hall), 'Ready to go back to a live mortgage industry event? MBA, NAR, NAMB and others test the waters' (May 11, 2020)MBA Annual Convention & Expo (the mortgage industry's largest gathering) | Mortgage Bankers Association | Chicago (2020 as planned); San Diego (2021), IL (2020); CA (2021)Organizer | May 11, 2020 | 2020 Q2 | Organizer notice | Confirmed from a secondary source | |
| Ex. SEC-13-GM-002 | SHRM, 'SHRM 2020 Annual Conference & Expo Canceled' (May 12, 2020)SHRM 2020 Annual Conference & Expo (the human-resources profession's annual conference; attended by bank, insurer and advisory-firm HR… | Society for Human Resource Management | San Diego (San Diego Convention Center), CAOrganizer | May 12, 2020 | 2020 Q2 | Organizer notice | Primary source read | |
| Ex. SEC-13-GM-014 | ABA Banking Journal, 'ABA Announces New Risk and Compliance Virtual Conference' (May 13, 2020) (July 28-30, 2020)ABA Regulatory Compliance Conference and Risk Management Conference (2020 replaced by a single Risk and Compliance Virtual Conference) | American Bankers Association | rotating (2020 in-person venues not sourced)Organizer | May 13, 2020 | 2020 Q2 | Organizer notice | Primary source read | |
| Ex. SEC-13-104 | Act No. 101 of 2020 (S.333)An act relating to establishing a moratorium on ejectment and foreclosure actions during the COVID-19 emergency | Vermont General Assembly; approved by Governor Phil Scott | VermontState | May 14, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Courts and public officesOther | Primary source read | |
| Ex. SEC-13-GM-030 | FINRA, COVID-19 Frequently Asked Questions (2020 page; entries added Mar.-May 2020): Prometric test-center closure and extension of qualification examination windowsFINRA qualification examinations (SIE, Series 6, 7, 63, 65, 66 and others) sat at Prometric test centers (class: the licensing sitting on… | FINRA and NASAA through Prometric | test centers in every State, ALLOrganizer | May 15, 2020 | 2020 Q2 | Organizer notice | Primary source read | |
| Ex. SEC-13-GM-027 | ABA Banking Journal, 'OCC Rule Clarifies Virtual Meeting Options for National Banks, Federal Thrifts' (May 27, 2020)Annual and special meetings of shareholders of national banks, federal savings associations, State banks and bank holding companies (class) | 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 | every State (headquarters, branches, hotels), ALLOrganizer | May 27, 2020 | 2020 Q2 | Organizer notice | Confirmed from a secondary source | |
| Ex. SEC-13-GM-026 | 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)Annual and special meetings of shareholders of national banks, federal savings associations, State banks and bank holding companies (class) | 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 | every State (headquarters, branches, hotels), ALLOrganizer | May 28, 2020 | 2020 Q2 | Organizer notice | Primary source read | |
| Ex. SEC-13-057 | Executive Order N-66-20Executive Order N-66-20 (extension of the N-28-20 local eviction and foreclosure protections, paras. 20-21, and other emergency suspensions) | Governor Gavin Newsom | CaliforniaState | May 29, 2020 | 2020 Q22020 Q3 | Other | Confirmed from a secondary source | |
| Ex. SEC-13-GM-007 | 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)AFSA Annual Meeting and Independents Conference & Expo 2020 (combined) | American Financial Services Association | Salt Lake City (Grand America Hotel), UTOrganizer | June 9, 2020 | 2020 Q2 | Organizer notice | Primary source read | |
| Ex. SEC-13-GM-122 | 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')LIMRA Annual Conference (life-insurance and financial-services executives) | LIMRA (LL Global) | rotating (2020 in-person venue not sourced)Organizer | June 22, 2020 | 2020 Q2 | Organizer notice | Primary source read | |
| Ex. SEC-13-GM-120 | 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'NAIC National Meetings (Spring, Summer and Fall), at which insurers, agents' associations and their counsel appear before the State… | National Association of Insurance Commissioners | rotating (Fall 2020: Indianapolis; Summer 2021: Columbus), IN; OHOrganizer | June 26, 2020 | 2020 Q2 | Organizer notice | Primary source read | |
| Ex. SEC-13-058 | Executive Order N-71-20Executive Order N-71-20 (extension of N-28-20 eviction and foreclosure protections through Sept. 30, 2020; other suspensions) | Governor Gavin Newsom | CaliforniaState | June 30, 2020 | 2020 Q22020 Q3 | Other | Primary source read | |
| Ex. SEC-13-088 | Enrolled House Bill 4204 (2020)Relating to strategies to protect Oregonians from the effects of the COVID-19 pandemic (mortgage forbearance and foreclosure moratorium) | Oregon Legislative Assembly (2020 First Special Session); approved by Governor Kate Brown June 30, 2020 | OregonState | June 30, 2020 | 2020 Q22020 Q32020 Q4 | Courts and public officesOther | Primary source read | |
| Ex. SEC-13-089 | Enrolled House Bill 4213 (2020)Relating to evictions; and declaring an emergency (residential and commercial eviction moratorium; nonpayment grace period) | Oregon Legislative Assembly (2020 First Special Session); approved by Governor Kate Brown June 30, 2020 | OregonState | June 30, 2020 | 2020 Q22020 Q32020 Q42021 Q1 | Courts and public officesOther | Primary source read | |
| Ex. SEC-13-GM-106 | CUNA News, 'Virtual events take center stage' (July 1, 2020): 'all CUNA staff started working remotely due to the coronavirus (COVID-19) pandemic. Many of CUNA's live events also shifted to virtual events'CUNA Governmental Affairs Conference (GAC), the credit-union movement's largest annual gathering | Credit Union National Association | Washington (Walter E. Washington Convention Center), DCOrganizer | July 1, 2020 | 2020 Q3 | Organizer notice | Primary source read | |
| Ex. SEC-13-GM-109 | MDRT news release (Park Ridge, Ill., July 9, 2020): 'MDRT brings industry-leading conference experience to cyberspace with 2020 Virtual Event' starting Aug. 3, 2020, 'Rising to the challenge of bringing financial advisors together to help clients during the COVID-19 pandemic'; incorporates components of the in-person Annual Meeting and Global ConferenceMDRT Annual Meeting and Global Conference (Million Dollar Round Table; life-insurance and financial-advisor producers) | Million Dollar Round Table | rotating (2020 in-person venue not sourced)Organizer | July 9, 2020 | 2020 Q3 | Organizer notice | Primary source read | |
| Ex. SEC-13-GM-116 | Morningstar, Inc. press release (Chicago, July 28, 2020): 'Morningstar Investment Conference Digital Event Details and Agenda Now Available' ('will take place as a digital-only event Wednesday, Sept. 16 and Thursday, Sept. 17'; 'As uncertainty around the pandemic... persists')Morningstar Investment Conference (financial advisors and asset managers; Chicago) | Morningstar, Inc. | Chicago (McCormick Place), ILOrganizer | July 28, 2020 | 2020 Q3 | Organizer notice | Primary source read | |
| Ex. SEC-13-GM-003 | AFSA, 'Going Virtual! 2020 Annual Meeting and Independents Conference & Expo' (Aug. 4, 2020)AFSA Annual Meeting and Independents Conference & Expo 2020 (combined) | American Financial Services Association | Salt Lake City (Grand America Hotel), UTOrganizer | Aug. 4, 2020 | 2020 Q3 | Organizer notice | Primary source read | |
| Ex. SEC-13-052 | Assembly Bill 3088, Tenant, Homeowner, and Small Landlord Relief and Stabilization Act of 2020 (COVID-19 Tenant Relief Act of 2020, Code Civ. Proc. 1179.01 et seq.; COVID-19 Small Landlord and Homeowner Relief Act of 2020, Civ. Code 3273.01 et seq.)AB-3088 Tenancy: rental payment default: mortgage forbearance: state of emergency: COVID-19 | California Legislature (AB 3088, Chiu); approved by Governor Newsom | CaliforniaState | Aug. 31, 2020 | 2020 Q32020 Q42021 Q12021 Q22021 Q3 | Courts and public officesOther | Primary source read | |
| Ex. SEC-13-GM-107 | CUNA press release (Madison and Washington, Aug. 31, 2020): the 2021 CUNA Governmental Affairs Conference 'would move to an interactive virtual format on March 2-4, 2021'; 'Each year, thousands of industry advocates come together at CUNA Governmental Affairs Conference'CUNA Governmental Affairs Conference (GAC), the credit-union movement's largest annual gathering | Credit Union National Association | Washington (Walter E. Washington Convention Center), DCOrganizer | Aug. 31, 2020 | 2020 Q3 | Organizer notice | Primary source read | |
| Ex. SEC-13-GM-119 | NAIC news release (Washington, Sept. 15, 2020): 'NAIC Fall National Meeting to be Virtual Format' ('initially scheduled to be held in Indianapolis, Indiana, will now be held virtually. Due to the ongoing health challenges that are being associated with holding large in-person meetings in the midst of the COVID-19 pandemic')NAIC National Meetings (Spring, Summer and Fall), at which insurers, agents' associations and their counsel appear before the State… | National Association of Insurance Commissioners | rotating (Fall 2020: Indianapolis; Summer 2021: Columbus), IN; OHOrganizer | Sept. 15, 2020 | 2020 Q3 | Organizer notice | Primary source read | |