| 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. SEC-13-028 | Regulatory Notice 20-08Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief | Financial Industry Regulatory Authority (self-regulatory organization under SEC oversight) | United StatesSector regulator | Mar. 9, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Telework mandateOther | Primary source read | |
| Ex. AGY-ST-TRADE-BOARDS-009 | TDLR COVID-19 page, 'TDLR Takes Action in Response to COVID-19 Threat' (TDLR Updates Mar. 13-Oct. 13, 2020, with the Governor's executive orders and waivers), as archived Oct. 16, 2020TDLR COVID-19 Information Page (updates through Oct. 13, 2020) | Texas Department of Licensing and Regulation | Texas; Texas Department of Licensing and RegulationSector regulator | Mar. 13, 2020 | 2020 Q22020 Q32020 Q42021 Q1 | Business closureCapacity limitEvents and venuesWorkplace rulesOther | Primary source read | |
| Ex. AGY-ST-TRADE-BOARDS-031 | NCEES COVID-19 exam administration updates (chronology: April 2020 pencil-and-paper exams cancelled; Pearson VUE capacity limits through 2021; masks required at Pearson VUE centers from Dec. 1, 2021)Latest Information on COVID-19 Response (NCEES) | NCEES | All States; National Council of Examiners for Engineering and Surveying (the council of the State engineering and surveying licensing boards, which administers the FE, PE, FS and PS examinations for every board)Sector regulator | Mar. 13, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Capacity limitGathering capFace-covering requirementOther | Confirmed from a secondary source | |
| Ex. FL-083 | Informational Memorandum OIR-20-03MGuidance for Business Continuity and Continuity of Operations Plans | Office of Insurance Regulation, Commissioner David Altmaier | FloridaSector regulator | Mar. 16, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Telework mandateWorkplace rules | Primary source read | |
| Ex. MS-059 | Casino closure directive (March 2020) and reopening standards (May 2020)Closure of licensed casinos and reopening under Gaming Commission and CDC conditions from May 21, 2020 | Mississippi Gaming Commission (Executive Director Allen Godfrey) | MississippiSector regulator | May 15, 2020 | 2020 Q2 | Business closureCapacity limit | Confirmed from a secondary source | |
| Ex. NV-047 | Industry Notice 2020-18Restrictions on Operations during COVID-19 Outbreak | Nevada Gaming Control Board (Chairwoman Sandra Douglass Morgan) | NevadaSector regulator | Mar. 16, 2020 | 2020 Q2 | Capacity limitWorkplace rules | Primary source read | |
| Ex. AGY-ST-TRADE-BOARDS-008 | Press release: TDLR moving employees to remote work in response to COVID-19 (customer service lobby closed to the public; PSI practical exams unavailable in Amarillo and McAllen; reduced seats at other centers)TDLR moving employees to remote work in response to COVID-19 | Texas Department of Licensing and Regulation | Texas; Texas Department of Licensing and RegulationSector regulator | Mar. 17, 2020 | 2020 Q2 | Context (guidance or announcement)Telework mandateCourts and public officesOther | Primary source read | |
| Ex. AGY-ST-TRADE-BOARDS-025 | Resources for Licensees during COVID-19 Outbreak (Board for Barbers and Cosmetology page, Mar. 23, 2020)Board for Barbers and Cosmetology - Resources for Licensees during COVID-19 Outbreak | Board for Barbers and Cosmetology, DPOR | Virginia; Board for Barbers and Cosmetology (DPOR)Sector regulator | Mar. 23, 2020 | 2020 Q2 | Capacity limitGathering capWorkplace rules | Primary source read | |
| Ex. AGY-ST-TRADE-BOARDS-033 | COVID-19 Update: Prometric Extends Closure of Testing Centers (U.S. and Canada test centers closed through Apr. 30, 2020; Notices to Schedule expiring Apr. 1-June 30, 2020 extended to Sept. 30, 2020; conditional-credit extensions recommended to boards)Covid-19 Update: Prometric Extends Closure of Testing Centers | NASBA, AICPA, Prometric and the Boards of Accountancy | All States; National Association of State Boards of Accountancy (with the AICPA and Prometric, on behalf of the 55 boards of accountancy)Sector regulator | Mar. 17, 2020 | 2020 Q22020 Q3 | Context (guidance or announcement)Business closureCapacity limitOther | Confirmed from a secondary source | |
| Ex. AGY-ST-TRADE-BOARDS-070 | Coronavirus Update - ARE 5.0 (chronology from March 2020: Prometric test centers closed; ARE appointments cancelled; seat credits; masks required at test centers; online proctoring launched Nov. 16, 2020; continued closures and short-notice cancellations into 2021)Coronavirus Update--ARE 5.0 (updated Feb. 3-4, 2021) | NCARB | All States; National Council of Architectural Registration Boards (council of the 55 architectural licensing boards; administers the Architect Registration Examination)Sector regulator | Mar. 20, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Business closureCapacity limitFace-covering requirementOther | Confirmed from a secondary source | |
| Ex. IA-071 | Regulatory Guidance for Working from Residence or Other Company Designated LocationGuidance allowing licensed mortgage bankers, brokers, servicers and loan originators, regulated and industrial loan licensees, delayed… | Iowa Division of Banking (Finance Bureau Chief Rodney Reed) | IowaSector regulator | Mar. 18, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Telework mandateOther | Primary source read | |
| Ex. MET-BAL-105 | MDOT MTA COVID-19 service reductions, boarding rules and face-covering requirement (agency web notice, captured Apr. 17, 2020)MDOT MTA Coronavirus (COVID-19) page: service status and face-covering requirement | Maryland Department of Transportation, Maryland Transit Administration | Baltimore region (MDOT Maryland Transit Administration: Local Bus, Light RailLink, Metro SubwayLink, MobilityLink, Commuter Bus, MARC)Sector regulator | Apr. 17, 2020 | 2020 Q22020 Q3 | Face-covering requirementTravel and quarantineOther | Primary source read | |
| Ex. MET-CMH-032 | COTA fare suspension and rear-door boarding (Mar. 19, 2020) and focused service reductions (Mar. 16-23, 2020), as described in COTA's release 'COTA will return to fares beginning January 11' (Dec. 2020)COTA Will Return to Fares Beginning January 11 | Central Ohio Transit Authority | COTA service area (Franklin County and portions of adjoining counties)Sector regulator | Mar. 19, 2020 | 2020 Q22020 Q32020 Q42021 Q1 | Capacity limitTravel and quarantineOther | Confirmed from a secondary source | |
| Ex. NJ-104 | Department of Banking and Insurance Bulletin No. 20-06No-action position regarding temporarily working from home due to COVID-19 (branch office licensure for mortgage lenders, brokers, loan… | Marlene Caride, Commissioner of Banking and Insurance | New JerseySector regulator | Mar. 19, 2020 | 2020 Q22020 Q32020 Q4 | Telework mandateOther | Primary source read | |
| Ex. AGY-ST-ALCOHOL-076 | Virginia ABC, COVID-19 Licensee and Regulation Items (Rev. 05.18.2020)COVID-19 Licensee and Regulation Items: easing regulations, extending off-premise privileges, curbside pickup and home delivery, take-out… | Virginia Alcoholic Beverage Control Authority | Virginia (State alcoholic-beverage regulator)Sector regulator | May 18, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q2 | Business closureCapacity limitAlcohol and barsOther | Primary source read | |
| Ex. AGY-ST-INSURANCE-BANKING-064 | Temporary Licensing Order, Case Number 2020-CDS-007Temporary Relief for Registrants Affected by the COVID-19 Outbreak | Tung Chan, Securities Commissioner | Colorado; Division of Securities, Department of Regulatory Agencies (State securities regulator)Sector regulator | Mar. 20, 2020 | 2020 Q2 | Telework mandateOther | Primary source read | |
| Ex. AGY-ST-INSURANCE-BANKING-088 | Bulletin 2020-08-INSTemporary Regulatory Flexibility Re: COVID-19 | Anita G. Fox, Director | Michigan; Department of Insurance and Financial ServicesSector regulator | Mar. 20, 2020 | 2020 Q22020 Q32020 Q4 | Context (guidance or announcement)Telework mandateGathering capOther | Primary source read | |
| Ex. AGY-ST-TRADE-BOARDS-015 | COVID-19 - Effects on CSLB Services (web page as of Mar. 20-22, 2020)COVID-19 - Effects on CSLB Services | Contractors State License Board | California; Contractors State License BoardSector regulator | Mar. 20, 2020 | 2020 Q2 | Context (guidance or announcement)Telework mandateCourts and public officesOther | Primary source read | |
| Ex. AGY-ST-TRANSPORT-PORTS-TRANSIT-067 | Duluth Seaway Port Authority notice, Mar. 19, 2020: 'IMPORTANT NOTICE ON COVID-19 AND OFFICE CLOSURE - As of MARCH 21, The Duluth Seaway Port Authority Office will be closed in response to the Coronavirus'Important Notice on COVID-19 and Office Closure (office closed as of March 21, 2020) | Duluth Seaway Port Authority | Minnesota (Duluth; Port of Duluth-Superior)Sector regulator | Mar. 19, 2020 | 2020 Q2 | Context (guidance or announcement)Business closureTelework mandate | Primary source read | |
| Ex. AGY-ST-INSURANCE-BANKING-024 | Bulletin No. 20-11COVID-19 State of Emergency: Remote Claim Handling | Insurance Commissioner | Maryland; Maryland Insurance AdministrationSector regulator | Mar. 23, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Telework mandateWorkplace rules | Primary source read | |
| Ex. AGY-ST-INSURANCE-BANKING-060 | Emergency Order: Temporary Relief for Registrants Affected by the COVID-19 OutbreakEmergency Order granting temporary relief to displaced broker-dealers, investment advisers and their agents and representatives | Commissioner of Securities (State Auditor J.B. McCuskey) | West Virginia; Securities Commission, Office of the State Auditor (State securities regulator)Sector regulator | Mar. 23, 2020 | 2020 Q22020 Q3 | Telework mandateOther | Primary source read | |
| Ex. IN-090 | ATC 'COVID-19 Action' page (agency timeline of orders and notices, Mar. 23, 2020 through July 1, 2021)The alcohol regulator's implementing notices: dine-in prohibition enforcement, carryout authorizations, permit extensions, Stage capacity… | Indiana Alcohol and Tobacco Commission | IndianaSector regulator | July 1, 2021 | 2020 Q22020 Q32020 Q42021 Q12021 Q2 | Business closureCapacity limitAlcohol and bars | Primary source read | |
| Ex. MET-CLT-070 | GoTriangle COVID-19 Updates page (as of Aug. 8, 2020)GoTriangle COVID-19 Updates - fares suspended, rear-door boarding, face coverings required from June 22, 2020 | GoTriangle | GoTriangle (Research Triangle Regional Public Transportation Authority; Wake, Durham and Orange Counties)Sector regulator | June 22, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Capacity limitFace-covering requirementOther | Primary source read | |
| Ex. AGY-ST-INSURANCE-BANKING-063 | Memorandum to registrants of March 24, 2020Regarding the ongoing developments related to the coronavirus (COVID-19) situation (Division operations; telework; remote examinations) | Benjamin Schrope, Interim Director, Securities Division | New Mexico; Securities Division, Regulation and Licensing Department (State securities regulator)Sector regulator | Mar. 24, 2020 | 2020 Q2 | Telework mandateOther | Primary source read | |