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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.

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Filters:Search: "Securities and Exchange Commission"2020 Q3 Clear all

10 instruments · showing 1–10

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Exhibit	Instrument	Issuer	Jurisdiction	Issued	Quarters	Limitations	Grade
Ex. AGY-FED-FINANCIAL-056	Release No. 34-88465, Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for Public CompaniesOrder Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for…	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-059	Release No. 34-88491, Order Under Section 15B and Section 36 of the Securities Exchange Act of 1934 Granting an Exemption for Municipal Advisors from Specified Provisions of the Exchange Act and Certain Rules ThereunderConditional Exemptive Order: Providing Conditional Regulatory Relief for Registered Municipal Advisors Affected by the Coronavirus Disease…	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	Mar. 26, 2020	2020 Q22020 Q3	Other	Primary source read
Ex. AGY-FED-FINANCIAL-063	Release No. 34-89074, Order Granting a Temporary Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal AdvisorsTemporary Conditional Exemption: Certain Activities of Registered Municipal Advisors	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	June 16, 2020	2020 Q22020 Q32020 Q4	Other	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-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-055	Investment Company Act Release No. 33821, Order Under Sections 6(c), 12(d)(1)(J), 17(b), 17(d) and 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified ProvisionsConditional Exemptive Order: SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	Mar. 23, 2020	2020 Q22020 Q32020 Q42021 Q12021 Q2	Other	Primary source read
Ex. AGY-FED-FINANCIAL-060	Temporary final rule, Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19), 85 Fed. Reg. 17747 (Mar. 31, 2020) (Release Nos. 33-10768, 34-88492)Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19)	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	Mar. 26, 2020	2020 Q22020 Q3	Other	Primary source read
Ex. AGY-FED-FINANCIAL-061	Temporary final rule, Temporary Amendments to Regulation Crowdfunding, 85 Fed. Reg. 27116 (May 7, 2020) (Release No. 33-10781); extended by 85 Fed. Reg. 54483 (Sept. 2, 2020)Temporary Amendments to Regulation Crowdfunding	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	May 4, 2020	2020 Q22020 Q32020 Q42021 Q1	Other	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-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

Securities and Exchange Commission, Release No. 34-88465, Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for Public Companies (Mar. 25, 2020) (Ex. AGY-FED-FINANCIAL-056)
Securities and Exchange Commission, Release No. 34-88491, Order Under Section 15B and Section 36 of the Securities Exchange Act of 1934 Granting an Exemption for Municipal Advisors from Specified Provisions of the Exchange Act and Certain Rules Thereunder (Mar. 26, 2020) (Ex. AGY-FED-FINANCIAL-059)
Securities and Exchange Commission, Release No. 34-89074, Order Granting a Temporary Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors (June 16, 2020) (Ex. AGY-FED-FINANCIAL-063)
Securities and Exchange Commission, 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 Delivery (Mar. 25, 2020) (Ex. AGY-FED-FINANCIAL-057)
Securities and Exchange Commission, 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] (June 19, 2020) (Ex. AGY-FED-FINANCIAL-064)
Securities and Exchange Commission, Investment Company Act Release No. 33821, Order Under Sections 6(c), 12(d)(1)(J), 17(b), 17(d) and 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions (Mar. 23, 2020) (Ex. AGY-FED-FINANCIAL-055)
Securities and Exchange Commission, Temporary final rule, Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19), 85 Fed. Reg. 17747 (Mar. 31, 2020) (Release Nos. 33-10768, 34-88492) (Mar. 26, 2020) (Ex. AGY-FED-FINANCIAL-060)
Securities and Exchange Commission, Temporary final rule, Temporary Amendments to Regulation Crowdfunding, 85 Fed. Reg. 27116 (May 7, 2020) (Release No. 33-10781); extended by 85 Fed. Reg. 54483 (Sept. 2, 2020) (May 4, 2020) (Ex. AGY-FED-FINANCIAL-061)
Securities and Exchange Commission, 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 Thereunder (Mar. 25, 2020) (Ex. AGY-FED-FINANCIAL-058)
SEC Division of Corporation Finance, 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) (Mar. 13, 2020) (Ex. AGY-FED-FINANCIAL-053)

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