Government & Regulatory Investigations

Thomas V. Daily

MAY 2020 DEVELOPMENTS:

SEC Adopts Amendments to Improve Financial Disclosures Related to Acquisitions and Dispositions of Businesses, Update to “Significant Subsidiary” Test

CFTC Division of Enforcement Issues Civil Monetary Guidance

FINRA Proposes Rule Change to Temporarily Amend Certain Timing, Method of Service, and Other Procedural Requirements in FINRA Rules

SEC Offers Limited Rule Relief to Spur Small Business Crowdfunding During Pandemic

SEC Division of Corporation Finance Issues FAQs Addressing the SEC’s Conditional Relief Order

SEC Approves NASDAQ Request to Provide Temporary Relief from Certain Shareholder Approval Requirements During COVID-19 Pandemic

FCC Adopts New Rules Implementing TRACED Act and Enhancing Enforcement Efforts

APRIL 2020 DEVELOPMENTS:

United Kingdom and United States Issue Joint Cybersecurity Alert Concerning Explosion of COVID-19 Phishing Attacks

FDA Issues Warning Letter for Fraudulent COVID-19 Treatment Product

SEC Announces CBOE Amendments to Business Continuity and Disaster Recovery Testing Rules

FINRA Issues Statement on SEC Risk Alerts Regarding Regulation Best Interest, Form CRS, and its Related Rules

National Association of Insurance Commissioners (NAIC) Insurance Brief: COVID-19 and Insurance

NAIC Creates Database of State Bulletins and Alerts Regarding COVID-19

Commodity Futures Trading Commission to Hold an Open Meeting on April 14, 2020 from 10:00 a.m. to 1:00 p.m.

Antitrust Division Issues First Expedited Approval of COVID-19 Competitor Collaboration

DOJ and SEC Take Aggressive Measure on COVID-19 Fraud

SEC Simplifies Disclosure Requirements for Certain Registered Debt Offerings

SEC Extends Conditional Exemptions from Reporting and Proxy Delivery Requirements for Public Companies, Funds and Investment Advisers Affected by COVID-19

Federal, State, and Local Law Enforcement Warn Against Teleconferencing Hacking During Coronavirus Pandemic

Department of Justice Makes $850 Million Available To Help Public Safety Agencies Address COVID-19 Pandemic

MARCH 2020 DEVELOPMENTS:

U.S. Securities and Exchange Commission (SEC) COVID-19 Response

SEC Permits Virtual Board Meetings and Provides Conditional Relief from Certain Filings Procedures to Assist Funds and Advisers

U.S. Department of Justice (DOJ) Announces Antitrust Civil Process Changes for Pendency of COVID-19 Event

DOJ and FTC Issue Joint Antitrust Statement regarding COVID-19

Attorney General William P. Barr Urges American Public to Report COVID-19 Fraud

Federal Government Response to COVID-19

Federal Bureau of Investigations (FBI) Sees Rise in Fraud Schemes Related to COVID-19

Federal Bureau of Prisons (BOP) Implementing Modified Operations

May 29, 2020
COVID-19 Webinar Series: Open for Business: Preparing for a Successful Reopening Strategy
April 22, 2020
COVID-19: State of Connecticut Governor's Executive Orders
March 21, 2020
COVID-19: Governor Lamont Issues Executive Order - "Stay Safe, Stay Home"
March 21, 2020
COVID-19 Guidance & Resources
March 20, 2020
COVID-19 Alert: State of Connecticut Initiatives
March 17, 2020
Reid & Riege COVID-19 Update: A Message to Our Clients and Friends

Thomas V. Daily

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