| Ex. AGY-FED-FINANCIAL-050 | 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 ThereunderOrder Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain… | Securities and Exchange Commission | United States; Securities and Exchange Commission (federal)Federal | Mar. 4, 2020 | 2020 Q2 | Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-001 | Interagency Statement on Pandemic Planning (SR 20-3 / CA 20-2)Interagency Statement on Pandemic Planning | FFIEC (transmitted by Federal Reserve SR 20-3 / CA 20-2, OCC Bulletin 2020-13, FDIC FIL-14-2020) | United States; Federal Financial Institutions Examination Council on behalf of the Federal Reserve Board, FDIC, OCC, NCUA, CFPB and State Liaison Committee (federal interagency)Federal | Mar. 6, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Telework mandateWorkplace rulesOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-074 | FINRA Regulatory Notice 20-08Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief | FINRA | United States; Financial Industry Regulatory Authority (self-regulatory organization registered under Exchange Act § 15A, 15 U.S.C. § 78o-3, subject to SEC oversight)Sector regulator | Mar. 9, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Telework mandateWorkplace rulesOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-052 | 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 ThereunderOrder Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder | Securities and Exchange Commission | United States; Securities and Exchange Commission (federal)Federal | Mar. 13, 2020 | 2020 Q2 | Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-058 | 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 ThereunderOrder Under Section 206A of the Investment Advisers Act Granting Exemptions from Specified Provisions and Certain Rules Thereunder | Securities and Exchange Commission | United States; Securities and Exchange Commission (federal)Federal | Mar. 25, 2020 | 2020 Q22020 Q3 | Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-032 | Letter to Credit Unions 20-CU-05Offsite Examination and Supervision Approach | NCUA | United States; National Credit Union Administration (federal)Federal | Mar. 1, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-054 | 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]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 | Mar. 20, 2020 | 2020 Q2 | Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-067 | CFTC Staff Letter No. 20-02 (No-Action)No-Action Positions for Certain Members of Designated Contract Markets and Swap Execution Facilities to Facilitate Physical Separation in… | CFTC Division of Swap Dealer and Intermediary Oversight (Director Joshua B. Sterling) and Division of Market Oversight | United States; Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight (federal staff no-action letter)Federal | Mar. 17, 2020 | 2020 Q22020 Q32020 Q42021 Q1 | Telework mandateWorkplace rulesOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-068 | CFTC Staff Letter No. 20-03 (No-Action)Temporary Relief for Futures Commission Merchants and Introducing Brokers to Facilitate Physical Separation in Derivatives Industry Response… | CFTC Division of Swap Dealer and Intermediary Oversight | United States; Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight (federal staff no-action letter)Federal | Mar. 17, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q2 | Telework mandateWorkplace rulesOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-069 | CFTC Staff Letter No. 20-06 (No-Action)No-Action Positions for Swap Dealers to Facilitate Physical Separation in Derivatives Industry Response to COVID-19 | CFTC Division of Swap Dealer and Intermediary Oversight | United States; Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight (federal staff no-action letter)Federal | Mar. 17, 2020 | 2020 Q22020 Q32020 Q42021 Q1 | Telework mandateWorkplace rulesOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-011 | Board statement of March 24, 2020 on supervisory approach (with SR 20-6 examination adjustments)Federal Reserve provides additional information to financial institutions on how its supervisory approach is adjusting in light of the… | Board of Governors of the Federal Reserve System | United States; Board of Governors of the Federal Reserve System (federal)Federal | Mar. 24, 2020 | 2020 Q2 | Context (guidance or announcement)Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-056 | 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 CompaniesOrder Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for… | Securities and Exchange Commission | United States; Securities and Exchange Commission (federal)Federal | Mar. 25, 2020 | 2020 Q22020 Q3 | Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-043 | Letter to Credit Unions 20-CU-17Update to Offsite Examination and Supervision Approach | NCUA | United States; National Credit Union Administration (federal)Federal | May 1, 2020 | 2020 Q22020 Q3 | Context (guidance or announcement)Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-075 | FINRA Regulatory Notice 20-16FINRA Shares Practices Implemented by Firms to Transition to, and Supervise in, a Remote Work Environment During the COVID-19 Pandemic | FINRA | United States; Financial Industry Regulatory Authority (self-regulatory organization)Sector regulator | May 28, 2020 | 2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-062 | 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 | May 27, 2020 | 2020 Q2 | Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-021 | Board announcement of June 15, 2020 resuming examination activitiesFederal Reserve Board announces it will resume examination activities for all banks, after previously announcing a reduced focus on exam… | Board of Governors of the Federal Reserve System | United States; Board of Governors of the Federal Reserve System (federal)Federal | June 15, 2020 | 2020 Q22020 Q3 | Context (guidance or announcement)Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-046 | Letter to Credit Unions 20-CU-20Phased Approach to On-site Operations | NCUA | United States; National Credit Union Administration (federal)Federal | June 1, 2020 | 2020 Q32020 Q42021 Q12021 Q22021 Q3 | Context (guidance or announcement)Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-071 | CFTC Staff Letter No. 20-26 (No-Action)Further Extension of Relief Provided in CFTC Staff Letters Nos. 20-02, 20-03, 20-04, 20-05, 20-06, 20-07, and 20-09 | CFTC Divisions of Swap Dealer and Intermediary Oversight and Market Oversight | United States; Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight and Division of Market Oversight (federal staff no-action letter)Federal | Sept. 11, 2020 | 2020 Q32020 Q42021 Q1 | Telework mandateWorkplace rulesOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-076 | FINRA Regulatory Notice 20-42 (and temporary Rule 3110.17 adopted by SR-FINRA-2020-040 as described in the notice)FINRA Seeks Comment on Lessons From the COVID-19 Pandemic | FINRA | United States; Financial Industry Regulatory Authority (self-regulatory organization)Sector regulator | Dec. 16, 2020 | 2020 Q42021 Q12021 Q22021 Q3 | Telework mandateOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-072 | CFTC Staff Letter No. 21-04 (No-Action)Limited Continuation of Certain No-Action Relief to Market Participants in Response to COVID-19 | CFTC Market Participants Division (formerly DSIO) and Division of Market Oversight | United States; Commodity Futures Trading Commission, Market Participants Division and Division of Market Oversight (federal staff no-action letter)Federal | Jan. 19, 2021 | 2021 Q12021 Q2 | Telework mandateWorkplace rulesOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-073 | CFTC Staff Letter No. 21-10 (No-Action)Partial Extension of No-Action Positions to Facilitate Physical Separation in Derivatives Industry Response to COVID-19 (Floor Brokers) | CFTC Market Participants Division and Division of Market Oversight | United States; Commodity Futures Trading Commission, Market Participants Division and Division of Market Oversight (federal staff no-action letter)Federal | Apr. 13, 2021 | 2021 Q22021 Q3 | Telework mandateWorkplace rulesOther | Primary source read | |
| Ex. AGY-FED-FINANCIAL-066 | Letter to Credit Unions 21-CU-06NCUA to Implement Phase One of Resuming Onsite Operations | NCUA | United States; National Credit Union Administration (federal)Federal | July 19, 2021 | 2021 Q3 | Context (guidance or announcement)Telework mandateOther | Primary source read | |