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Ex. AGY-FED-FINANCIAL-062 Order Primary source read

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]

Extension of Conditional Exemptive Order: Relief for Registered Transfer Agents and Certain Other Persons Affected by COVID-19

Securities and Exchange Commission · United States; Securities and Exchange Commission (federal) (Federal)

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The COVID Project

The record

Jurisdiction
United States; Securities and Exchange Commission (federal)
Level
Federal
Authority
15 U.S.C. § 78q-1; § 78mm
Issued
2020-05-27 May 27, 2020
Effective
2020-05-30
End
2020-06-30
In force
May 30, 2020 to June 30, 2020
Quarters
2020 Q2
Limitation types
Telework mandateOther
Addressees
  • registered transfer agents
  • persons subject to Exchange Act § 17(f)(2)
Functions reached
  • CM securities processing
  • OP
  • HR fingerprinting
Collection
Federal financial regulators AGY-FED-FINANCIAL

Operative words

On March 20, 2020, the Securities and Exchange Commission ('Commission') [issued an order under Sections 17A and 36 of the Exchange] Act that granted transfer agents (and other persons with regard to Exchange Act section 17(f)(2) and Rule 17f-2 thereunder) the following temporary exemptions... [The Commission is extending] the Exemptions until June 30, 2020, pursuant to its authority under Sections 36 and 17A(c)(1) [where the conditions below are satisfied, including notice to the] Commission by June 30, 2020.

Enforcement

Conditional exemption; 15 U.S.C. § 78q-1(d)

Notes

The Commission's May 27, 2020 finding that transfer agents' operating conditions had not normalized

A record of The COVID Project. The instrument's text is the source's; the summary fields are The COVID Project's reading of it. Not legal advice.