Securities and Exchange Commission, Release No. 34-88318, Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder (Mar. 4, 2020) (Ex. AGY-FED-FINANCIAL-050)
FFIEC (transmitted by Federal Reserve SR 20-3 / CA 20-2, OCC Bulletin 2020-13, FDIC FIL-14-2020), Interagency Statement on Pandemic Planning (SR 20-3 / CA 20-2) (Mar. 6, 2020) (Ex. AGY-FED-FINANCIAL-001)
Federal Reserve Board, CFPB, FDIC, NCUA, OCC and CSBS, Joint press release and statement of March 9, 2020 (Mar. 9, 2020) (Ex. AGY-FED-FINANCIAL-002)
FINRA, FINRA Regulatory Notice 20-08 (Mar. 9, 2020) (Ex. AGY-FED-FINANCIAL-074)
Export-Import Bank of the United States (President and Chairman Kimberly A. Reed), EXIM relief measures of March 12, 2020 (waivers, deadline extensions, streamlined processing and flexibility for an initial 30-day period) (Mar. 12, 2020) (Ex. AGY-FED-FINANCIAL-090)
Board of Governors of the Federal Reserve System, Division of Supervision and Regulation and Division of Consumer and Community Affairs, SR 20-4 / CA 20-3 (Mar. 13, 2020) (Ex. AGY-FED-FINANCIAL-003)
Office of the Comptroller of the Currency, OCC Bulletin 2020-15 (Mar. 13, 2020) (Ex. AGY-FED-FINANCIAL-004)
Federal Deposit Insurance Corporation, FIL-17-2020 (Mar. 13, 2020) (Ex. AGY-FED-FINANCIAL-005)
Federal Deposit Insurance Corporation, Frequently Asked Questions for Financial Institutions Affected by the Coronavirus Disease 2019 (transmitted by FIL-18-2020, updated through 2020) (Mar. 13, 2020) (Ex. AGY-FED-FINANCIAL-006)
NCUA Chairman Rodney E. Hood, Letter to Federal Credit Unions 20-FCU-02 (Mar. 1, 2020) (Ex. AGY-FED-FINANCIAL-030)
Securities and Exchange Commission, Investment Company Act Release No. 33817, Order Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery (Mar. 13, 2020) (Ex. AGY-FED-FINANCIAL-051)
Securities and Exchange Commission, Investment Advisers Act Release No. 5463, 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. 13, 2020) (Ex. AGY-FED-FINANCIAL-052)
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)
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 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)
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)
Board of Governors of the Federal Reserve System, Board statement of March 15, 2020, Federal Reserve Actions to Support the Flow of Credit to Households and Businesses (Mar. 15, 2020) (Ex. AGY-FED-FINANCIAL-028)
Financial Crimes Enforcement Network, FinCEN Notice of March 16, 2020 (Mar. 16, 2020) (Ex. AGY-FED-FINANCIAL-025)
NCUA Chairman Rodney E. Hood, Letter to Credit Unions 20-CU-02 (Mar. 1, 2020) (Ex. AGY-FED-FINANCIAL-029)
NCUA, Letter to Credit Unions 20-CU-03 (Mar. 1, 2020) (Ex. AGY-FED-FINANCIAL-031)
NCUA, Letter to Credit Unions 20-CU-05 (Mar. 1, 2020) (Ex. AGY-FED-FINANCIAL-032)
Securities and Exchange Commission, Release No. 34-88448, Order Under Sections 17A and 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder [for Registered Transfer Agents and Certain Other Persons] (Mar. 20, 2020) (Ex. AGY-FED-FINANCIAL-054)
Board of Governors, FDIC and OCC, Interagency Statement on the Use of Capital and Liquidity Buffers (Mar. 17, 2020) (Ex. AGY-FED-FINANCIAL-007)
CFTC Division of Swap Dealer and Intermediary Oversight (Director Joshua B. Sterling) and Division of Market Oversight, CFTC Staff Letter No. 20-02 (No-Action) (Mar. 17, 2020) (Ex. AGY-FED-FINANCIAL-067)
CFTC Division of Swap Dealer and Intermediary Oversight, CFTC Staff Letter No. 20-03 (No-Action) (Mar. 17, 2020) (Ex. AGY-FED-FINANCIAL-068)
CFTC Division of Swap Dealer and Intermediary Oversight, CFTC Staff Letter No. 20-06 (No-Action) (Mar. 17, 2020) (Ex. AGY-FED-FINANCIAL-069)
Internal Revenue Service (Treasury Department), Notice 2020-17, 2020-15 I.R.B. 590 (Mar. 18, 2020) (Ex. AGY-FED-FINANCIAL-077)
Board of Governors, FDIC and OCC (FDIC FIL-19-2020; OCC Bulletin 2020-19; Fed CA 20-4), Joint Statement on CRA Consideration for Activities in Response to COVID-19 (Mar. 19, 2020) (Ex. AGY-FED-FINANCIAL-008)
Internal Revenue Service (Treasury Department), Notice 2020-18, 2020-15 I.R.B. 590 (Mar. 20, 2020) (Ex. AGY-FED-FINANCIAL-078)
Board of Governors, FDIC, NCUA, OCC, CFPB and CSBS, Interagency Statement on Loan Modifications and Reporting for Financial Institutions Working with Customers Affected by the Coronavirus (Mar. 22, 2020) (Ex. AGY-FED-FINANCIAL-009)
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)
Federal Housing Finance Agency (Director Mark Calabria), FHFA direction to the Enterprises of March 23, 2020 (implemented by Fannie Mae Lender Letter LL-2020-03/04 and Freddie Mac Bulletin 2020-5) (Mar. 23, 2020) (Ex. AGY-FED-FINANCIAL-098)
Board of Governors of the Federal Reserve System, Board statement of March 24, 2020 on supervisory approach (with SR 20-6 examination adjustments) (Mar. 24, 2020) (Ex. AGY-FED-FINANCIAL-011)
Office of the Comptroller of the Currency, OCC Bulletin 2020-23 (Mar. 25, 2020) (Ex. AGY-FED-FINANCIAL-013)
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)
EXIM Board of Directors, EXIM Board resolutions of March 25, 2020 establishing four temporary programs (Bridge Financing Program; Pre-Delivery / Pre-Export Financing Program; Supply Chain Financing Guarantee Program expansion; Working Capital Guarantee Program expansion) (Mar. 25, 2020) (Ex. AGY-FED-FINANCIAL-091)
Board of Governors of the Federal Reserve System, Interim final rule, Regulation D: Reserve Requirements of Depository Institutions, 85 Fed. Reg. 16525 (Mar. 24, 2020) (Docket R-1705) (Ex. AGY-FED-FINANCIAL-010)
NCUA, Letter to Credit Unions 20-CU-04 (Mar. 1, 2020) (Ex. AGY-FED-FINANCIAL-033)
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, 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)
Consumer Financial Protection Bureau (Director Kathleen L. Kraninger), CFPB statements of March 26, 2020 (Statement on Supervisory and Enforcement Practices Regarding Quarterly Reporting Under the Home Mortgage Disclosure Act; Statement on Supervisory and Enforcement Practices Regarding Bureau Information Collections for Credit Card and Prepaid Account Issuers) (Mar. 26, 2020) (Ex. AGY-FED-FINANCIAL-101)
Board of Governors of the Federal Reserve System, SR 20-6 (Mar. 27, 2020) (Ex. AGY-FED-FINANCIAL-012)
NCUA, Letter to Credit Unions 20-CU-08 (Apr. 1, 2020) (Ex. AGY-FED-FINANCIAL-035)
Internal Revenue Service (Treasury Department), Notice 2020-20, 2020-16 I.R.B. 660 (Mar. 27, 2020) (Ex. AGY-FED-FINANCIAL-079)
Internal Revenue Service (Treasury Department), Notice 2020-22, 2020-17 I.R.B. 664 (Mar. 31, 2020) (Ex. AGY-FED-FINANCIAL-081)
NCUA, Letter to Credit Unions 20-CU-07 (Apr. 1, 2020) (Ex. AGY-FED-FINANCIAL-034)
NCUA, Letter to Credit Unions 20-CU-11 (Apr. 1, 2020) (Ex. AGY-FED-FINANCIAL-037)
Internal Revenue Service (Commissioner Charles P. Rettig), IR-2020-59, People First Initiative (Mar. 25, 2020) (Ex. AGY-FED-FINANCIAL-080)
Internal Revenue Service (Treasury Department), Notice 2020-21, 2020-16 I.R.B. 660 (Mar. 27, 2020) (Ex. AGY-FED-FINANCIAL-089)
CFPB, Board of Governors, FDIC, NCUA, OCC and CSBS, Joint Statement on Supervisory and Enforcement Practices Regarding the Mortgage Servicing Rules in Response to the COVID-19 Emergency and the CARES Act (Apr. 3, 2020) (Ex. AGY-FED-FINANCIAL-014)
Financial Crimes Enforcement Network, FinCEN Notice of April 3, 2020 (Apr. 3, 2020) (Ex. AGY-FED-FINANCIAL-024)
Board of Governors, FDIC, NCUA, OCC, CFPB and CSBS (OCC Bulletin 2020-35; FDIC FIL-36-2020; NCUA 20-CU-13), Interagency Statement on Loan Modifications and Reporting for Financial Institutions Working with Customers Affected by the Coronavirus (Revised) (Apr. 7, 2020) (Ex. AGY-FED-FINANCIAL-015)
NCUA, Letter to Credit Unions 20-CU-13 (Apr. 1, 2020) (Ex. AGY-FED-FINANCIAL-038)
Internal Revenue Service (Treasury Department), Notice 2020-23, 2020-18 I.R.B. 742 (Apr. 9, 2020) (Ex. AGY-FED-FINANCIAL-082)
OCC, Board of Governors and FDIC, Interim final rule, Regulatory Capital Rule: Paycheck Protection Program Lending Facility and Paycheck Protection Program Loans, 85 Fed. Reg. 20387 (Apr. 13, 2020) (Ex. AGY-FED-FINANCIAL-026)
Board of Governors, FDIC, NCUA, OCC and CFPB (OCC Bulletin 2020-38; FDIC FIL-43-2020), Interagency Statement on Appraisals and Evaluations for Real Estate Related Financial Transactions Affected by the Coronavirus (Apr. 14, 2020) (Ex. AGY-FED-FINANCIAL-016)
EXIM Board of Directors, EXIM Board resolution of April 14, 2020 temporarily restricting export support for needed U.S. medical and protective supplies (Apr. 14, 2020) (Ex. AGY-FED-FINANCIAL-092)
Export-Import Bank of the United States, EXIM extension of temporary COVID-19 relief measures through May 31, 2020 (Apr. 14, 2020) (Ex. AGY-FED-FINANCIAL-093)
Small Business Administration (Administrator Jovita Carranza) in consultation with the Secretary of the Treasury, Interim final rule, Business Loan Program Temporary Changes; Paycheck Protection Program, 85 Fed. Reg. 20811 (Apr. 15, 2020) (Docket SBA-2020-0015; RIN 3245-AH34) (Apr. 2, 2020) (Ex. AGY-FED-FINANCIAL-086)
Small Business Administration in consultation with the Secretary of the Treasury, Interim final rule, Business Loan Program Temporary Changes; Paycheck Protection Program [Affiliation Rules], 85 Fed. Reg. 20817 (Apr. 15, 2020) (RIN 3245-AH35) (Apr. 3, 2020) (Ex. AGY-FED-FINANCIAL-087)
NCUA, Letter to Credit Unions 20-CU-10 (Apr. 1, 2020) (Ex. AGY-FED-FINANCIAL-103)
OCC, Board of Governors and FDIC, Interim final rule, Real Estate Appraisals, 85 Fed. Reg. 21312 (Apr. 17, 2020) (Ex. AGY-FED-FINANCIAL-017)
NCUA, Letter to Credit Unions 20-CU-09 (Apr. 1, 2020) (Ex. AGY-FED-FINANCIAL-036)
NCUA Board, Temporary final rule, Temporary Regulatory Relief in Response to COVID-19, 85 Fed. Reg. 22010 (Apr. 21, 2020) (Ex. AGY-FED-FINANCIAL-039)
NCUA Board, Interim final rule, Real Estate Appraisals, 85 Fed. Reg. 22014 (Apr. 21, 2020) (Ex. AGY-FED-FINANCIAL-040)
Federal Housing Finance Agency, FHFA approval of April 22, 2020 for Enterprise purchase of qualified single-family loans in forbearance (Apr. 22, 2020) (Ex. AGY-FED-FINANCIAL-099)
Board of Governors of the Federal Reserve System, Interim final rule, Regulation D: Reserve Requirements of Depository Institutions, 85 Fed. Reg. 23445 (Apr. 28, 2020) (Docket R-1710) (Apr. 24, 2020) (Ex. AGY-FED-FINANCIAL-018)
CFTC Division of Swap Dealer and Intermediary Oversight, CFTC Staff Letter No. 20-16 (No-Action) (Apr. 24, 2020) (Ex. AGY-FED-FINANCIAL-070)
NCUA Board, Interim final rule, Central Liquidity Facility, 85 Fed. Reg. 23731 (Apr. 29, 2020) (Ex. AGY-FED-FINANCIAL-041)
NCUA, Letter to Credit Unions 20-CU-17 (May 1, 2020) (Ex. AGY-FED-FINANCIAL-043)
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)
NCUA, Letter to Credit Unions 20-CU-16 (May 1, 2020) (Ex. AGY-FED-FINANCIAL-042)
Office of the Comptroller of the Currency, OCC Bulletin 2020-51 (May 12, 2020) (Ex. AGY-FED-FINANCIAL-019)
Office of the Comptroller of the Currency, Interim final rule, Director, Shareholder, and Member Meetings, 85 Fed. Reg. 31943 (May 28, 2020) (RIN 1557-AE94); technical correction 85 Fed. Reg. 35373 (June 10, 2020) (Ex. AGY-FED-FINANCIAL-020)
NCUA Board, Interim final rule, Temporary Regulatory Relief in Response to COVID-19-Prompt Corrective Action, 85 Fed. Reg. 31952 (May 28, 2020) (Ex. AGY-FED-FINANCIAL-044)
FINRA, FINRA Regulatory Notice 20-16 (May 28, 2020) (Ex. AGY-FED-FINANCIAL-075)
Internal Revenue Service (Treasury Department), Notice 2020-35, 2020-25 I.R.B. 948 (May 28, 2020) (Ex. AGY-FED-FINANCIAL-083)
Securities and Exchange Commission, Release No. 34-88960, Order Under Sections 17A and 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder [for Registered Transfer Agents and Certain Other Persons] (May 27, 2020) (Ex. AGY-FED-FINANCIAL-062)
Export-Import Bank of the United States, EXIM extension of several temporary COVID-19 relief measures through August 31, 2020 (May 28, 2020) (Ex. AGY-FED-FINANCIAL-094)
NCUA Board (administrative order of June 5, 2020) and NCUA staff letter, Letter to Credit Unions 20-CU-18 and NCUA Board administrative order of June 5, 2020 (June 1, 2020) (Ex. AGY-FED-FINANCIAL-045)
Board of Governors of the Federal Reserve System, Board announcement of June 15, 2020 resuming examination activities (Ex. AGY-FED-FINANCIAL-021)
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)
Board of Governors (SR 20-15), FDIC (FIL-64-2020), NCUA, OCC (Bulletin 2020-64) and CSBS, Interagency Examiner Guidance for Assessing Safety and Soundness Considering the Effect of the COVID-19 Pandemic on Institutions (June 23, 2020) (Ex. AGY-FED-FINANCIAL-022)
Internal Revenue Service, IRS Statement on Taxpayer Assistance Centers (as updated June 26, 2020) (Ex. AGY-FED-FINANCIAL-085)
Consumer Financial Protection Bureau, Interim final rule, Treatment of Certain COVID-19 Related Loss Mitigation Options Under the Real Estate Settlement Procedures Act (RESPA) (Regulation X), 85 Fed. Reg. 39055 (June 30, 2020) (Docket CFPB-2020-0021; RIN 3170-AA99) (June 23, 2020) (Ex. AGY-FED-FINANCIAL-102)
NCUA, Letter to Credit Unions 20-CU-20 (June 1, 2020) (Ex. AGY-FED-FINANCIAL-046)
FFIEC on behalf of its members (FDIC FIL-74-2020; OCC Bulletin 2020-72), Joint Statement on Additional Loan Accommodations Related to COVID-19 (Aug. 3, 2020) (Ex. AGY-FED-FINANCIAL-023)
Export-Import Bank of the United States, EXIM extension of temporary COVID-19 relief measures through October 31, 2020 (Aug. 31, 2020) (Ex. AGY-FED-FINANCIAL-095)
CFTC Divisions of Swap Dealer and Intermediary Oversight and Market Oversight, CFTC Staff Letter No. 20-26 (No-Action) (Sept. 11, 2020) (Ex. AGY-FED-FINANCIAL-071)
NCUA Chairman Rodney E. Hood, Letter to Federal Credit Unions 20-FCU-04 (Nov. 1, 2020) (Ex. AGY-FED-FINANCIAL-047)
Export-Import Bank of the United States, EXIM extension of temporary COVID-19 relief measures through April 30, 2021 (Oct. 30, 2020) (Ex. AGY-FED-FINANCIAL-096)
OCC, Board of Governors and FDIC, Interim final rule, Temporary Asset Thresholds, 85 Fed. Reg. 77345 (Dec. 2, 2020) (Ex. AGY-FED-FINANCIAL-027)
FINRA, FINRA Regulatory Notice 20-42 (and temporary Rule 3110.17 adopted by SR-FINRA-2020-040 as described in the notice) (Dec. 16, 2020) (Ex. AGY-FED-FINANCIAL-076)
NCUA Board, Temporary final rule, Temporary Regulatory Relief in Response to COVID-19-Extension, 85 Fed. Reg. 83405 (Dec. 22, 2020) (Ex. AGY-FED-FINANCIAL-048)
Small Business Administration in consultation with the Secretary of the Treasury, Interim final rule, Business Loan Program Temporary Changes; Paycheck Protection Program Second Draw Loans, 86 Fed. Reg. 3712 (Jan. 14, 2021) (RIN 3245-AH63) (Jan. 6, 2021) (Ex. AGY-FED-FINANCIAL-088)
CFTC Market Participants Division (formerly DSIO) and Division of Market Oversight, CFTC Staff Letter No. 21-04 (No-Action) (Jan. 19, 2021) (Ex. AGY-FED-FINANCIAL-072)
Internal Revenue Service (Treasury Department), Notice 2021-21, 2021-15 I.R.B. 986 (Mar. 29, 2021) (Ex. AGY-FED-FINANCIAL-084)
EXIM Board of Directors, EXIM Board resolution of April 15, 2021 extending the COVID-19 temporary relief measures (Working Capital Guarantee Program, Supply Chain Financing Guarantee Program, Bridge/Backstop Financing Program and Pre-Delivery/Pre-Export Financing Program) through April 2022 (Apr. 15, 2021) (Ex. AGY-FED-FINANCIAL-097)
CFTC Market Participants Division and Division of Market Oversight, CFTC Staff Letter No. 21-10 (No-Action) (Apr. 13, 2021) (Ex. AGY-FED-FINANCIAL-073)
Federal Housing Finance Agency, FHFA announcement of April 21, 2021 extending certain COVID-related loan origination flexibilities to May 31, 2021 and retiring them thereafter (Apr. 21, 2021) (Ex. AGY-FED-FINANCIAL-100)
NCUA Board (interim final rule and administrative order of April 26, 2021) and NCUA staff letter, Letter to Credit Unions 21-CU-04 and NCUA Board administrative order of April 26, 2021 (June 1, 2021) (Ex. AGY-FED-FINANCIAL-049)
SEC Division of Investment Management, Division of Investment Management Staff Statement Regarding Termination Notice for Exemptive Relief and Withdrawal of Staff Letters Related to COVID-19 Response (Apr. 15, 2021) (Ex. AGY-FED-FINANCIAL-065)
NCUA, Letter to Credit Unions 21-CU-06 (July 19, 2021) (Ex. AGY-FED-FINANCIAL-066)
