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SEC Coronavirus (COVID-19) Response

March 16, 2020

The U.S. Securities and Exchange Commission’s efforts are centered, first and foremost, on the health and safety of our employees and all Americans. We also are focused on, among other things:

  • maintaining the continuity of Commission operations;
  • monitoring market functions and system risks;
  • providing prompt, targeted regulatory relief and guidance to issuers, investment advisers and other registrants impacted by COVID-19 to facilitate continuing operations, including in connection with the execution of their business continuity plans (BCPs); and
  • maintaining our enforcement and investor protection efforts, particularly with regard to the protection of our critical market systems and our most vulnerable investors.

We continue to work in close coordination with other financial regulators and governmental authorities in the United States and globally.

Below is a summary of operational initiatives, market-focused actions, guidance and targeted assistance and relief, investor protection efforts and other work of the agency in response to the effects of COVID-19. It is not an exhaustive list. Rather, it provides background and more specific context as to how the SEC is continuing to work with investors and other market participants as it executes its mission during this period of collective, national challenge.

Through this period of collective, national challenge, we have remained fully operational and committed to our tripartite mission to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. While the agency is engaging on numerous COVID-19 initiatives as noted above, we also continue our regular agency operations. For example, we have continued to advance rulemaking initiatives, conduct risk-based inspections, bring enforcement actions, and review and comment on issuer and fund filings.

Our staff has been intently focused on continuing to display the level of professionalism and dedication on which our investors and markets have come to rely. We recognize the importance of our mission to America’s investors and our markets and believe it is a privilege to serve.

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