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The Orders Library

Name: The COVID Project Orders Library
Creator: The COVID Project

13,511 instruments indexed by The COVID Project: the orders of the fifty States and the District, forty metros, the federal layer and the agencies; the standing duties; the organizers' notices; the legal authorities. Filter by kind, State, limitation type, quarter and more; open the exhibit; download what you find.

Double quotes make a phrase ("stay at home"). An exhibit ID (TX-004) opens its record first.

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Filters:Level: Organizer Industry: Financial Services 2020 Q2 Clear all

16 instruments · showing 1–16

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Exhibit	Instrument	Issuer	Jurisdiction	Issued	Quarters	Limitations	Grade
Ex. SEC-13-GM-001	AFSA, 'AFSA Independents Conference & Expo Cancelled' (Mar. 13, 2020), quoting the Riverside County order cancelling events of 250 or moreAFSA Independents Conference & Expo 2020 (traditional installment lenders)	American Financial Services Association	La Quinta (La Quinta Resort, Riverside County), CAOrganizer	Mar. 13, 2020	2020 Q2	Organizer notice	Primary source read
Ex. SEC-13-GM-121	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)LIMRA and LOMA spring 2020 conferences: Customer Experience Conference (New Orleans), Regulatory Compliance Exchange (Orlando), Life…	LIMRA and LOMA (LL Global)	New Orleans; Orlando; Salt Lake City, LA; FL; UTOrganizer	Mar. 17, 2020	2020 Q2	Organizer notice	Primary source read
Ex. SEC-13-GM-029	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)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	Apr. 7, 2020	2020 Q2	Organizer notice	Primary source read
Ex. SEC-13-GM-126	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)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	Apr. 7, 2020	2020 Q2	Organizer notice	Primary source read
Ex. SEC-13-GM-015	AFSA, '2020 Law & Compliance Symposium Cancelled' (Apr. 20, 2020) (June 2-4, 2020, Dallas)AFSA Law & Compliance Symposium 2020 (with committee meetings)	American Financial Services Association	Dallas, TXOrganizer	Apr. 20, 2020	2020 Q2	Organizer notice	Primary source read
Ex. SEC-13-GM-104	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 cancelledNAFCU Annual Conference & Solutions Expo (June) and NAFCU Congressional Caucus (September)	National Association of Federally-Insured Credit Unions (merged into America's Credit Unions in 2024)	rotating (June); Washington (September),; DCOrganizer	Apr. 21, 2020	2020 Q2	Organizer notice	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-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-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-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

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)

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