Response to COVID-19

Below please find links to certain TM-related documents in response to the effects of COVID-19. This is not an exhaustive list. Please refer to the SEC Coronavirus (COVID-19) Response page for more information:

• Staff Statement Regarding Rule 302(b) of Regulation S-T in Light of COVID-19 Concerns (11/20/20)
• Conditional Exemptive Order: Granting Exemptions from Certain Rules Related to the Sale and Delivery of Physical Securities under Regulation SHO Related to COVID-19 (8/25/2020)
• Extension of Conditional Exemptive Order: Relief for Registered Transfer Agents and Certain Other Persons Affected by COVID-19 (6/26/2020)
• Staff Statement Regarding Temporary International Mail Service Suspensions to Certain Jurisdictions Related to the COVID-19 Pandemic (6/24/20)
• Updated Staff Statement: Regarding Requirements for Certain Paper Submissions in Light of COVID-19 Concerns (6/18/2020)
  (replaces the April 2, 2020 Staff Statement)
• Extension of Conditional Exemptive Order: Relief for Registered Transfer Agents and Certain Other Persons Affected by COVID-19 (5/27/2020)
• Staff Guidance: New Frequently Asked Questions Concerning the COVID-19 Pandemic and the Broker-Dealer Financial Responsibility Rules (4/22/2020)
• Temporary Exemptive Order: Regarding Rule 606 of Regulation NMS Under the Exchange Act in Response to the Effects of COVID-19 (3/25/2020)
• Staff Statement: Regarding Rule 302(b) of Regulation S-T in Light of COVID-19 Concerns (3/24/2020)
• Conditional Exemptive Order: Relief for Registered Transfer Agents and Certain Other Persons Affected by COVID-19
• Immediate Effectiveness of Proposed Rule Change: Facilitating NYSE Electronic Auctions in Light of Temporary Closure of Physical Trading Floor
• Staff No Action Letter: Consolidated Audit Trail Reporting (3/16/2020)
• Immediate Effectiveness of Proposed Rule Change: Facilitating Continued Operations of the Cboe Options Exchange In Light Of Temporary Suspension of Cboe Physical Trading Floor (3/14/2020)